SEC Form 5 · accession 0000091142-17-000003
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia K Ackerman
Officer — VP, Investor Relations & Treas
Period of report
Dec 31, 2016
Accepted (ET)
Feb 8, 2017 · 12:33 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 |
|---|---|---|---|---|---|---|---|---|
| CommonF1,F2 | Nov 22, 2016 | G | 54 | $0.00 | D | 1,642 | 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)F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 21,406 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 18,789 | D |
Explanation of responses
- F1Gift
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 848 additional shares of Common Stock.
- F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 10,703 additional Employee Stock Options.
- F4On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 9,317 additional Restricted Stock Units. The Restricted Stock Units that Patricia K. Ackerman 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 155 Restricted Stock Units.