SEC Form 4 · accession 0000091142-17-000007
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Heideman
Officer — Senior VP Engineering & Tech.
Period of report
Feb 8, 2017
Accepted (ET)
Feb 9, 2017 · 12:35 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 | Feb 8, 2017 | M | 16,000 | $17.462 | A | 39,612 | D | |
| Common Stock | Feb 8, 2017 | S | 16,000 | $49.28 | D | 23,612 | 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,F2 | $17.462 | Feb 8, 2017 | M | 16,000 | D | — | Feb 11, 2023 | Common Stock | 16,000 | 47,820 | D |
| Restricted Stock UnitsF4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 13,760 | D |
Explanation of responses
- F1On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 11,806 additional shares of Common Stock.
- F2The employee stock options were granted on 02/11/2013, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/11/2014.
- F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 31,910 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 6,880 additional Restricted Stock Units.