SEC Form 4 · accession 0000091142-17-000074
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
Nov 28, 2017
Accepted (ET)
Nov 29, 2017 · 2:53 pm EST
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 StockF1 | Nov 14, 2017 | G | 5,126 | $0.00 | D | 146,257 | D | |
| Common Stock | Nov 28, 2017 | M | 19,900 | $23.235 | A | 166,157 | D | |
| Common Stock | Nov 28, 2017 | F | 7,477 | $61.84 | D | 158,680 | D | |
| Common Stock | Nov 29, 2017 | S | 12,423 | $62.2772 | D | 146,437 | 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)F2 | $23.235 | Nov 28, 2017 | M | 19,900 | D | — | Feb 10, 2024 | Common Stock | 19,900 | 59,480 | D |
Explanation of responses
- F1Gift
- F2The 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 02/10/2015.