SEC Form 4 · accession 0000091142-17-000078
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ajita G Rajendra
Officer — Chairman and CEO
Period of report
Dec 5, 2017
Accepted (ET)
Dec 6, 2017 · 5:17 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 | Dec 5, 2017 | M | 127,800 | $4.751 | A | 405,169 | D | |
| Common Stock | Dec 5, 2017 | F | 68,324 | $62.01 | D | 336,845 | D | |
| Common Stock | holding | — | — | — | 8,892 | I | Held by Spouse |
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 | $4.751 | Dec 5, 2017 | M | 127,800 | D | — | Feb 9, 2019 | Common Stock | 127,800 | 741,940 | D |
Explanation of responses
- F1The employee stock options were granted on 02/09/2009 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 02/09/2010.