SEC Form 4 · accession 0000091142-17-000063
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Stern
Officer — Exec VP, General Counsel & Sec
Period of report
May 25, 2017
Accepted (ET)
May 26, 2017 · 9:41 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 25, 2017 | M | 25,200 | $17.462 | A | 176,583 | D | |
| Common Stock | May 25, 2017 | S | 25,200 | $54.4494 | D | 151,383 | 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 | $17.462 | May 25, 2017 | M | 25,200 | D | — | Feb 11, 2023 | Common Stock | 25,200 | 79,380 | D |
Explanation of responses
- F1The employee stock options were granted on 02/11/2013 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 02/11/2014.