SEC Form 4 · accession 0000091142-16-000120
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Stern
Officer — Exec VP, General Counsel & Sec
Period of report
Nov 14, 2016
Accepted (ET)
Nov 15, 2016 · 10:50 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 25, 2016 | G | 1,007 | $0.00 | D | 85,267 | D | |
| Common StockF1 | Aug 26, 2006 | G | 329 | $0.00 | D | 84,938 | D | |
| Common StockF1 | Sep 1, 2016 | G | 11 | $0.00 | D | 84,927 | D | |
| Common StockF2 | Nov 14, 2016 | S | 20,000 | $47.6856 | D | 149,854 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Employee Right to Buy)F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 89,400 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 18,760 | D |
Explanation of responses
- F1Gift
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for-1, resulting in the reporting person's ownership of 84,927 additional shares of Common Stock.
- F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for-1, resulting in the reporting person's ownership of 44,700 additional Employee Stock Options.
- F4On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for-1, resulting in the reporting person's ownership of 9,380 additional Restricted Stock Units.