SEC Form 4 · accession 0000091142-17-000057
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J. Wheeler
Officer — Senor VP & President and GM
Period of report
May 4, 2017
Accepted (ET)
May 5, 2017 · 12:59 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 Stock | May 4, 2017 | M | 5,600 | $6.983 | A | 22,348 | D | |
| Common Stock | May 4, 2017 | M | 8,000 | $10.779 | A | 30,348 | D | |
| Common Stock | May 4, 2017 | S | 13,600 | $54.3903 | D | 16,748 | 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 | $6.983 | May 4, 2017 | M | 5,600 | D | — | Feb 8, 2020 | Common Stock | 5,600 | 113,995 | D |
| Employee Stock Options (Right to Buy)F2 | $10.779 | May 4, 2017 | M | 8,000 | D | — | Feb 7, 2021 | Common Stcok | 8,000 | 105,995 | D |
Explanation of responses
- F1The employee stock options were granted on 02/08/2010 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 02/08/2011.
- F2The employee stock options were granted on 02/07/2011 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 02/07/2012.