SEC Form 4 · accession 0000091142-17-000077
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Petrarca
Officer — Senior Vice Pres. - H.R. & P.A
Period of report
Nov 30, 2017
Accepted (ET)
Dec 1, 2017 · 4:43 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 Stock | Nov 30, 2017 | M | 16,600 | $23.235 | A | 99,249 | D | |
| Common Stock | Nov 30, 2017 | F | 11,312 | $63.15 | D | 87,937 | D | |
| Common Stock | Dec 1, 2017 | S | 5,288 | $63.1403 | D | 82,649 | 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 | $23.235 | Nov 30, 2017 | M | 16,600 | D | — | Feb 10, 2024 | Common Stock | 16,600 | 44,415 | D |
Explanation of responses
- F1The 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.