SEC Form 4 · accession 0000091142-17-000034
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William L Vallett Jr.
Officer — CEO, Lochinvar, LLC
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 4:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091142
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F1 | $50.16 | Feb 13, 2017 | A | 6,135 | A | — | Feb 13, 2027 | Common Stock | 6,135 | 44,745 | D |
| Restricted Stock UnitsF2 | $50.16 | Feb 13, 2017 | A | 1,595 | A | — | — | Common Stock | 1,595 | 7,375 | D |
Explanation of responses
- F1The employee stock options were granted on 02/13/2017 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exercisable in three annual installments of 1/3 of the award starting on 02/13/2018.
- F2The restricted stock units were granted on 02/13/2017 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The restricted stock units become payable in Common Stock on the vesting date of 02/13/2020.