SEC Form 4 · accession 0000091142-17-000017
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Petrarca
Officer — Senior Vice Pres. - H.R. & P.A
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 5:01 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 | 5,900 | $49.86 | A | 84,798 | D | |
| Common Stock | Feb 10, 2017 | F | 2,149 | $49.86 | D | 82,649 | 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 UnitsF1 | $49.86 | Feb 10, 2017 | M | 5,900 | D | — | — | Common Stock | 5,900 | 8,790 | D |
Explanation of responses
- F15,900 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. 5,900 Restricted Stock Units vested on 02/10/2017. As a result of vesting, the Company is obligated to deliver 5,900 shares of Common Stock to the reporting person.