SEC Form 4 · accession 0000091142-16-000117
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 28, 2016
Accepted (ET)
Jul 28, 2016 · 4:58 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 | Jul 28, 2016 | S | 1,146 | $93.7597 | A | 54,850 | D | |
| Common StockF1 | holding | — | — | — | 14,750 | I | In trust | |
| Common StockF2 | 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 StockF1,F3,F4,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 117,688 | I |
| Class A Common StockF2,F3,F4,F5 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 1,838 | I |
Explanation of responses
- F1The reporting person beneficially owns the shares as settlor of a revocable family trust.
- F2Held by spouse.
- F31 for 1
- F4Convertible at any time to Common Stock.
- F5None.