SEC Form 4 · accession 0000091142-17-000013
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel L Kempken
Officer — Vice President and Controller
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 4:24 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,F2 | Feb 10, 2017 | M | 1,830 | $49.86 | A | 4,750 | D | |
| Common Stock | Feb 10, 2017 | F | 738 | $49.86 | D | 4,012 | 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 UnitsF3,F1 | $49.86 | Feb 10, 2017 | M | 1,830 | D | — | — | Common Stock | 1,830 | 3,690 | D |
| Employee Stock Options (Right to Buy)F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 32,340 | D |
Explanation of responses
- F11,830 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. 1,830 Restricted Stock Units vested on 02/10/2017. As a result of vesting, the Company is obligated to deliver 1,830 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 1,460 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 2,760 additional Restricted Stock Units.
- F4On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 16,170 additional Employee Stock Options.