SEC Form 4 · accession 0000091142-16-000106
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles T Lauber
Officer — SVP, Strategy & Corporate Dev.
Period of report
May 24, 2016
Accepted (ET)
May 25, 2016 · 2:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091142
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 24, 2016 | M | 1,334 | $21.558 | A | 13,324 | D | |
| Common Stock | May 24, 2016 | M | 2,000 | $34.923 | A | 15,324 | D | |
| Common Stock | May 24, 2016 | F | 2,262 | $81.83 | D | 13,062 | D | |
| Common Stock | May 25, 2016 | S | 1,072 | $83.5439 | D | 11,990 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F1 | $21.558 | May 24, 2016 | M | 1,334 | D | — | Feb 7, 2021 | Common Stock | 1,334 | 15,495 | D |
| Employee Stock Options (Right to Buy)F2 | $34.923 | May 24, 2016 | M | 2,000 | D | — | Feb 11, 2023 | Common Stock | 2,000 | 13,495 | D |
Explanation of responses
- F1The employee stock options were granted on 02/07/2011 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/07/2012.
- F2The employee stock options were granted on 02/11/2013 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/11/2014.