SEC Form 4 · accession 0000091142-17-000038

SMITH A O CORP · AOS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Pres. AOSCIC; Manager AOSCWHC

Period of report

Feb 27, 2017

Accepted (ET)

Feb 28, 2017 · 3:41 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
Common Stock	Feb 27, 2017	M	4,000	$23.235	D	7,039	D
Common Stock	Feb 27, 2017	M	11,260	$30.765	A	18,299	D
Common Stock	Feb 27, 2017	M	6,144	$31.67	A	24,443	D
Common Stock	Feb 27, 2017	S	21,404	$51.0965	D	3,039	D

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	$23.235	Feb 27, 2017	M	4,000	D	—	Feb 10, 2024	Common Stock	4,000	46,455	D
Employee Stock Options (Right to Buy)^F2	$30.765	Feb 27, 2017	M	11,260	D	—	Feb 9, 2025	Common Stock	11,260	35,195	D
Employee Stock Options (Right to Buy)^F3	$31.67	Feb 27, 2017	M	6,144	D	—	Feb 8, 2026	Common Stock	6,144	29,051	D

F1The employee stock options were granted on 02/10/2014, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/10/2015.
F2The employee stock options were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/09/2016.
F3The employee stock options were granted on 02/08/2016, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/08/2017.