SEC Form 4 · accession 0000091142-16-000122
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Kita
Officer — Executive Vice President & CFO
Period of report
Dec 5, 2016
Accepted (ET)
Dec 7, 2016 · 3:15 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 | Jun 7, 2016 | G | 70 | $0.00 | D | 47,597 | D | |
| Common StockF1 | Aug 18, 2016 | G | 110 | $0.00 | D | 47,487 | D | |
| Common StockF1,F2 | Dec 2, 2016 | G | 105 | $0.00 | D | 94,869 | D | |
| Common Stock | Dec 5, 2016 | S | 20,000 | $49.7416 | D | 74,869 | 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 | 128,330 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 26,660 | 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 47,487 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 64,165 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 13,330 additional Restricted Stock Units.