SEC Form 4 · accession 0000091142-17-000043
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia K Ackerman
Officer — VP, Investor Relations & Treas
Period of report
Mar 9, 2017
Accepted (ET)
Mar 10, 2017 · 3:40 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 Stock | Mar 9, 2017 | M | 2,266 | $17.462 | A | 3,908 | D | |
| Common Stock | Mar 9, 2017 | M | 5,140 | $23.235 | A | 9,048 | D | |
| Common Stock | Mar 9, 2017 | S | 7,406 | $49.4024 | D | 1,642 | D |
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 | $17.462 | Mar 9, 2017 | M | 2,266 | D | — | Feb 11, 2023 | Common Stock | 2,266 | 23,550 | D |
| Employee Stock Options (Right to Buy)F2 | $23.235 | Mar 9, 2017 | M | 5,140 | D | — | Feb 10, 2024 | Common Stock | 5,140 | 18,410 | D |
Explanation of responses
- F1The employee stock options were granted on 02/11/2013 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 02/11/2014.
- F2The 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.