SEC Form 4 · accession 0000091142-16-000118
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilfridus M Brouwer
Officer — President - AOSHBSRL
Period of report
Jul 29, 2016
Accepted (ET)
Aug 1, 2016 · 2:10 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 29, 2016 | M | 2,467 | $34.923 | A | 19,449 | D | |
| Common Stock | Jul 29, 2016 | M | 3,733 | $46.47 | A | 23,182 | D | |
| Common Stock | Jul 29, 2016 | S | 6,200 | $93.2901 | D | 16,982 | 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 | $34.923 | Jul 29, 2016 | M | 2,467 | D | — | Feb 11, 2023 | Common Stock | 2,467 | 16,855 | D |
| Employee Stock Options (Right to Buy)F2 | $46.47 | Jul 29, 2016 | M | 3,733 | D | — | Feb 10, 2024 | Common Stock | 3,733 | 13,122 | D |
Explanation of responses
- F1The 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.
- F2The employee stock options were granted on 02/10/2014 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 02/10/2015.