SEC Form 4 · accession 0000091142-17-000080
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilfridus M Brouwer
Officer — President - AOSHBSRL
Period of report
Dec 7, 2017
Accepted (ET)
Dec 7, 2017 · 5:07 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 7, 2017 | M | 3,734 | $23.235 | A | 39,878 | D | |
| Common Stock | Dec 7, 2017 | M | 3,910 | $31.67 | A | 43,808 | D | |
| Common Stock | Dec 7, 2017 | S | 7,644 | $61.5872 | D | 36,164 | 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 | Dec 7, 2017 | M | 3,734 | D | — | Feb 10, 2024 | Common Stock | 3,734 | 29,595 | D |
| Employee Stock Options (Right to Buy)F2 | $31.67 | Dec 7, 2017 | M | 3,910 | D | — | Feb 8, 2026 | Common Stock | 3,910 | 25,685 | 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.
- 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 became exercisable in three annual installments of 1/3 of the award starting on 02/08/2017.