SEC Form 4 · accession 0000091142-17-000049
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce M Smith
Director
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 3:59 pm EDT
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 | holding | — | — | — | 15,892 | D | ||
| Common StockF3,F4 | holding | — | — | — | 2,400 | I | In trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F7,F6 | $49.83 | Apr 13, 2017 | A | 2,509 | A | — | — | Common Stock | 2,509 | 117,298 | D |
| Class A Common StockF11,F4,F8,F9,F10 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 453,964 | I |
Explanation of responses
- F1On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 7,946 additional shares of Common Stock.
- F10None.
- F11On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 226,982 additional shares of Class A Common Stock.
- F2Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan.
- F3On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 1,200 additional shares of Common Stock.
- F4The reporting person beneficially owns these shares as settlor of a revocable family trust.
- F5Payment of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the average of the high and low price of Common Stock on April 13, 2017.
- F6The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
- F7On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 57,106 additional Restricted Stock Units.The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 577 units of Restricted Stock Units.
- F81 for 1.
- F9Convertible at any time into Common Stock.