SEC Form 4 · accession 0000091142-17-000061
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ajita G Rajendra
Officer — Chairman and CEO
Period of report
May 19, 2017
Accepted (ET)
May 22, 2017 · 3:15 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 19, 2017 | M | 67,200 | $5.94 | A | 336,545 | D | |
| Common Stock | May 19, 2017 | F | 37,094 | $53.475 | D | 299,451 | D | |
| Common StockF2 | holding | — | — | — | 8,892 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F1 | $5.94 | May 19, 2017 | M | 67,200 | D | — | Feb 11, 2018 | Common Stock | 67,200 | 869,740 | D |
Explanation of responses
- F1The employee stock options were granted on 02/11/2008 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 02/11/2009.
- F2Spouse