SEC Form 5 · accession 0000091142-18-000004
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Smith
Director
Period of report
Dec 31, 2017
Accepted (ET)
Feb 7, 2018 · 12:08 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 | holding | — | — | — | 112,209 | D | ||
| Common StockF1 | holding | — | — | — | 29,500 | I | In trust | |
| Common Stock | holding | — | — | — | 8,956 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F5,F3,F4 | $0.00 | Feb 21, 2017 | G | 559 | D | — | — | Common Stock | 559 | 234,817 | I |
| Class A Common StockF2,F3,F4 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 3,676 | I |
Explanation of responses
- F1The reporting person beneficially owns the shares as settlor of a revocable family trust.
- F21 for 1
- F3Convertible at any time.
- F4None.
- F5Gift.