SEC Form 4 · accession 0000091142-17-000019
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Stern
Officer — Exec VP, General Counsel & Sec
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 5:10 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 | 7,100 | $49.86 | A | 153,954 | D | |
| Common Stock | Feb 10, 2017 | F | 2,571 | $49.86 | D | 151,383 | 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 | 7,100 | D | — | — | Common Stock | 7,100 | 11,660 | D |
Explanation of responses
- F17,100 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. 7,100 Restricted Stock Units vested on 02/10/2017. As a result of vesting, the Company is obligated to deliver 7,100 shares of Common Stock to the reporting person.