SEC Form 4 · accession 0000091142-17-000069
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter R Martineau
Officer — Senior Vice President - CIO
Period of report
Oct 31, 2017
Accepted (ET)
Nov 1, 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 | Oct 31, 2017 | M | 4,400 | $11.493 | A | 17,528 | D | |
| Common Stock | Oct 31, 2017 | M | 6,800 | $17.462 | A | 24,328 | D | |
| Common Stock | Oct 31, 2017 | M | 5,140 | $23.235 | A | 29,468 | D | |
| Common Stock | Oct 31, 2017 | M | 3,493 | $30.765 | A | 32,961 | D | |
| Common Stock | Oct 31, 2017 | M | 2,434 | $31.67 | A | 35,395 | D | |
| Common Stock | Oct 31, 2017 | S | 22,267 | $59.3294 | D | 13,128 | 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 | $11.493 | Oct 31, 2017 | M | 4,400 | D | — | Feb 13, 2022 | Common Stock | 4,400 | 29,540 | D |
| Employee Stock Options (Right to Buy)F2 | $17.462 | Oct 31, 2017 | M | 6,800 | D | — | Feb 11, 2023 | Common Stock | 6,800 | 22,740 | D |
| Employee Stock Options (Right to Buy)F3 | $23.235 | Oct 31, 2017 | M | 5,140 | D | — | Feb 10, 2024 | Common Stock | 5,140 | 17,600 | D |
| Employee Stock Options (Right to Buy)F4 | $30.765 | Oct 31, 2017 | M | 3,493 | D | — | Feb 9, 2025 | Common Stock | 3,493 | 14,107 | D |
| Employee Stock Options (Right to Buy)F5 | $31.67 | Oct 31, 2017 | M | 2,434 | D | — | Feb 8, 2026 | Common Stock | 2,434 | 11,673 | D |
Explanation of responses
- F1The employee stock options were granted on 02/13/2012 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exercisable in three annual installments of 1/3 of the award starting on 02/13/2013.
- F2The 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 become exercisable in three annual installments of 1/3 of the award starting on 02/11/2014.
- F3The 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 become exercisable in three annual installments of 1/3 of the award starting on 02/10/2015.
- F4The 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 become exercisable in three annual installments of 1/3 of the award starting on 02/09/2016.
- F5The 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 become exercisable in three annual installments of 1/3 of the award starting on 02/08/2017.