SEC Form 4 · accession 0000091142-17-000051
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Idelle K Wolf
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 | 57,303 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 8,896 | D |
Explanation of responses
- F1Payment of retainer in stock under the A. O. Smith Corporation Directors' Compensation Plan based on the average of the high and low price of Common Stock on April 13, 2017.
- F2On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 27,397 additional shares of Common Stock.
- F3The Plan permits the participant to defer the receipt of the award and Ms. Wolf has made a deferral.
- F4On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 4,426 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 44 units of Restricted Stock Units.