SEC Form 4 · accession 0000091142-17-000070
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles T Lauber
Officer — SVP, Strategy & Corporate Dev.
Period of report
Nov 2, 2017
Accepted (ET)
Nov 3, 2017 · 10:16 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 | Nov 2, 2017 | M | 4,660 | $30.765 | A | 26,240 | D | |
| Common Stock | Nov 2, 2017 | M | 2,934 | $31.67 | A | 29,174 | D | |
| Common Stock | Nov 2, 2017 | S | 7,594 | $59.8452 | 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 | $30.765 | Nov 2, 2017 | M | 4,660 | D | — | Feb 9, 2025 | Common Stock | 4,660 | 18,720 | D |
| Employee Stock Options (Right to Buy)F2 | $31.67 | Nov 2, 2017 | M | 2,934 | D | — | Feb 8, 2026 | Common Stock | 2,934 | 15,786 | D |
Explanation of responses
- F1The 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.
- F2The 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.