SEC Form 4 · accession 0000091142-16-000119

SMITH A O CORP · AOS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — SVP, Strategy & Corporate Dev.

Period of report

Nov 9, 2016

Accepted (ET)

Nov 14, 2016 · 9:13 am EST

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
Common Stock^F1	Nov 9, 2016	M	4,000	$17.462	A	27,980	D
Common Stock	Nov 9, 2016	M	4,800	$23.235	A	32,780	D
Common Stock	Nov 9, 2016	F	6,327	$46.615	D	26,453	D
Common Stock	Nov 10, 2016	S	2,473	$48.1181	D	23,980	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Options (Right to Buy)^F2	$17.462	Nov 9, 2016	M	4,000	D	Feb 11, 2014	Feb 11, 2023	Common Stock	4,000	22,990	D
Employee Stock Options (Right to Buy)	$23.235	Nov 9, 2016	M	4,800	D	Feb 10, 2015	Feb 10, 2024	Common Stock	4,800	18,190	D
Restricted Stock Units^F3,F4	$0.00	holding	—	—	—	—	—	Common Stock	0	6,740	D

F1On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 11,990 additional shares of Common Stock.
F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 15,360 additional Employee Stock Options.
F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 3,370 additional Restricted Stock Units.
F4The restricted stock units become payable in Common Stock on the vesting date.