SEC Form 4 · accession 0000091142-17-000016
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter R Martineau
Officer — Senior Vice President - CIO
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 4:57 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 Stock | Feb 10, 2017 | M | 1,830 | $49.86 | A | 1,830 | D | |
| Common Stock | Feb 10, 2017 | F | 598 | $49.86 | D | 1,232 | 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 | 1,830 | D | — | — | Common | 1,830 | 3,280 | D |
| Employee Stock OptionsF3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 28,880 | D |
Explanation of responses
- F11,830 Restricted Stock Units were granted on February 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 February 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 2,555 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 14,440 additional Employee Stock Options.