SEC Form 4 · accession 0000091142-17-000079
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J. Wheeler
Officer — President and COO
Period of report
Dec 5, 2017
Accepted (ET)
Dec 6, 2017 · 5:49 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 | 14,000 | $11.493 | A | 30,748 | D | |
| Common Stock | Dec 5, 2017 | M | 16,000 | $17.462 | A | 46,748 | D | |
| Common Stock | Dec 5, 2017 | F | 16,707 | $62.01 | D | 30,041 | D | |
| Common Stock | Dec 6, 2017 | S | 13,293 | $61.4914 | D | 16,748 | 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 | Dec 5, 2017 | M | 14,000 | D | — | Feb 13, 2022 | Common | 14,000 | 91,995 | D |
| Employee Stock Options (Right to Buy)F2 | $17.462 | Dec 5, 2017 | M | 16,000 | D | — | Feb 11, 2023 | Common | 16,000 | 75,995 | 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 bec1me 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 bec1me exercisable in three annual installments of 1/3 of the award starting on 02/11/2014.