SEC Form 4 · accession 0000091142-17-000053

SMITH A O CORP · AOS

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

Reporting owner

Officer — Senior VP - Chief Techology

Period of report

May 1, 2017

Accepted (ET)

May 2, 2017 · 10:25 am 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
Common Stock	May 1, 2017	M	13,000	$23.24	A	39,495	D
Common Stock	May 1, 2017	M	11,067	$30.77	A	50,562	D
Common Stock	May 1, 2017	M	6,074	$31.67	A	56,636	D
Common Stock	May 1, 2017	S	30,141	$53.8981	D	26,495	D
Common Stock^F1	May 1, 2017	G	310	$0.00	D	26,185	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)^F2	$23.24	May 1, 2017	M	13,000	D	—	Feb 10, 2024	Common Stock	13,000	45,825	D
Employee Stock Options (Right to Buy)^F3	$30.77	May 1, 2017	M	11,067	D	—	Feb 9, 2025	Common Stock	11,067	34,758	D
Employee Stock Options (Right to Buy)^F4	$31.67	May 1, 2017	M	6,074	D	—	Feb 8, 2026	Common Stock	6,074	28,684	D

F1Gift
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.
F3The 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.
F4The 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.