SEC Form 4 · accession 0000091142-16-000114
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Smith
Director
Period of report
Jul 11, 2016
Accepted (ET)
Jul 13, 2016 · 3:59 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 StockF1 | Jul 11, 2016 | A | 56 | $90.265 | A | 55,996 | D | |
| Common StockF2 | holding | — | — | — | 14,750 | I | In trust | |
| Common StockF3 | holding | — | — | — | 4,478 | I | Held by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2,F4,F5,F6 | $0.00 | Jun 6, 2016 | G | 340 | A | — | — | Common Stock | 340 | 117,688 | I |
| Class A Common StockF3,F4,F5,F6 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 1,838 | I |
Explanation of responses
- F1Payment of additional retainer in stock under the A. O. Smith Corporation directors' compensation program based on the average of the high and low price of Common Stock on July 11, 2016.
- F2The reporting person beneficially owns the shares as settlor of a revocable family trust.
- F3Held by spouse.
- F41 for 1
- F5Convertible at any time to Common Stock.
- F6None.