SEC Form 5 · accession 0000091142-18-000003
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce M Smith
Director
Period of report
Dec 31, 2017
Accepted (ET)
Feb 7, 2018 · 11:23 am 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 | holding | — | — | — | 15,892 | D | ||
| Common StockF2 | holding | — | — | — | 2,400 | I | In Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2,F5,F6,F7 | $0.00 | Dec 5, 2017 | G | 365 | D | — | — | Common Stock | 365 | 453,599 | I |
| Class A Common StockF2,F5,F6,F7 | $0.00 | Dec 6, 2017 | G | 450 | D | — | — | Common Stock | 450 | 453,149 | I |
| Class A Common StockF2,F5,F6,F7 | $0.00 | Dec 8, 2017 | G | 748 | D | — | — | Common Stock | 748 | 452,401 | I |
| Restricted Stock UnitsF4,F3 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 118,514 | D |
Explanation of responses
- F1Shares deferred under the A. O. Smith Non-qualified Deferred Compensation Plan.
- F2The reporting person beneficially owns these shares as settlor of a revocable family trust.
- F3The Plan permits the participant to defer receipt of the award and Mr. Smith has made a deferral.
- F4The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Non-qualified Deferred Compensation Plan. The total amount of dividends received was 1,216 units of Restricted Stock Units.
- F5Gift
- F6Convertible at any time into Common Stock.
- F7None.