SEC Form 5 · accession 0000091142-17-000005
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ajita G Rajendra
Officer — Chairman and CEO
Period of report
Dec 31, 2016
Accepted (ET)
Feb 8, 2017 · 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 | Aug 12, 2016 | G | 234 | $0.00 | D | 144,951 | D | |
| Common StockF1,F2 | Dec 9, 2016 | G | 3,000 | $0.00 | D | 286,902 | 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 | 857,240 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 97,240 | 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 144,951 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 428,620 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 48,620 additional Restricted Stock Units.