SEC Form 4 · accession 0000091142-17-000021
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J. Wheeler
Officer — Senior VP & President and GM
Period of report
Feb 10, 2017
Accepted (ET)
Feb 13, 2017 · 5:19 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 | 7,100 | $49.86 | A | 18,774 | D | |
| Common Stock | Feb 10, 2017 | F | 2,026 | $49.86 | D | 16,748 | 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 | 7,100 | A | — | — | Common Stock | 7,100 | 10,880 | D |
| Employee Stock Options (Right to Buy)F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 104,920 | 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.
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 5,837 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 8,990 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 52,460 additional Employee Stock Options.