SEC Form 4 · accession 0000091142-17-000050
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Smith
Director
Period of report
Apr 13, 2017
Accepted (ET)
Apr 17, 2017 · 4:00 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 | Apr 13, 2017 | A | 2,509 | $49.83 | A | 112,209 | D | |
| Common StockF3,F4 | holding | — | — | — | 29,500 | I | In trust | |
| Common StockF5 | holding | — | — | — | 8,956 | I | Held by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF9,F4,F6,F7,F8 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 235,376 | I |
| Class A Common StockF10,F6,F7,F8 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 3,676 | I |
Explanation of responses
- F1Payment of retainer in stock under the A. O. Smith Corporation directors' compensation program based on the average of the high and low price of Common Stock on April 13, 2016.
- F10Held by spouse. On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in his spouse's ownership of 1,838 additional shares of Class A Common Stock.
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 54,850 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 14,750 additional shares of Common Stock.
- F4The reporting person beneficially owns the shares as settlor of a revocable family trust.
- F5Held by spouse. On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in his spouse's ownership of 4,478 additional shares of Common Stock.
- F61 for 1
- F7Convertible at any time to Common Stock.
- F8None.
- F9On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 117,688 additional shares of Class A Common Stock.