SEC Form 4 · accession 0000091142-17-000001
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William P Greubel
Director
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 8:52 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 Stock | Jan 3, 2017 | A | 17,621 | $47.92 | A | 17,621 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $47.92 | Jan 3, 2017 | M | 17,621 | D | — | — | Common Stock | 17,621 | 29,652 | D |
Explanation of responses
- F1The Plan permits the participant to defer the receipt of the award. Mr Greubel's elected a deferral until 01/01/2014 with a distribution over five years.
- F2The Restricted Stock Units that William P. Greubel has deferred receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 178 Restricted Stock Units. On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for 1, resulting in the reporting person's ownership of 23,577 additional Restricted Stock Units.