SEC Form 4 · accession 0000091142-17-000060
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Charles T Lauber
Officer — SVP, Strategy & Corporate Dev.
Period of report
May 10, 2017
Accepted (ET)
May 10, 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 Stock | May 10, 2017 | S | 1,587 | $54.3672 | D | 23,980 | D | |
| Common Stock | May 10, 2017 | S | 2,400 | $54.3441 | D | 21,580 | 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 | $23.235 | May 10, 2017 | M | 2,400 | D | — | Feb 10, 2024 | Common Stock | 2,400 | 23,380 | D |
Explanation of responses
- F1The 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 02/14/2015.