SEC Form 4 · accession 0000091142-16-000121
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Petrarca
Officer — Senior Vice Pres. - H.R. & P.A
Period of report
Dec 6, 2016
Accepted (ET)
Dec 7, 2016 · 3:12 pm 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 | Dec 6, 2016 | S | 10,000 | $49.7339 | D | 78,898 | 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)F2 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 70,810 | D |
| Restricted Stock UnitsF3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 14,690 | D |
Explanation of responses
- F1On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for 1, resulting in the reporting person's ownership of 44,449 additional shares of Common Stock.
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for 1, resulting in the reporting person's ownership of 35,405 additional Employee Stock Options.
- F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for 1, resulting in the reporting person's ownership of 7,345 additional Restricted Stock Units.