SEC Form 4 · accession 0000091142-17-000011
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wei Ding
Officer — Pres.AOSCIC; Manager AOSCWHC
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 4:17 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 10, 2017 | M | 4,300 | $49.86 | A | 4,300 | D | |
| Common Stock | Feb 10, 2017 | F | 1,261 | $49.86 | D | 3,039 | 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 UnitsF2,F1 | $49.86 | Feb 10, 2017 | M | 4,300 | D | — | — | Common Stock | 4,300 | 9,290 | D |
| Employee Stock Options (Right to Buy)F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 39,320 | D |
Explanation of responses
- F14,300 Restricted Stock Units were granted on 02/10/2014, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 4,300 Restricted Stock Units vested on 02/10/2017. As a result of vesting, the Company is obligated to deliver 4,300 shares of Common Stock to the reporting person.
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 6,795 additional Restricted Stock Units.
- F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 19,660 additional Employee Stock Options.