SEC Form 4 · accession 0000091142-18-000008
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia K Ackerman
Officer — VP, Investor Relations & Treas
Period of report
Feb 12, 2018
Accepted (ET)
Feb 13, 2018 · 5:18 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 StockF1 | Sep 8, 2017 | G | 46 | $0.00 | D | 1,596 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F2 | $61.76 | Feb 12, 2018 | A | 930 | A | — | — | Common Stock | 930 | 21,011 | D |
| Employee Stock Options (Right to Buy)F4 | $61.76 | Feb 12, 2018 | A | 3,870 | A | — | Feb 12, 2028 | Common Stock | 3,870 | 22,280 | D |
Explanation of responses
- F1Gift
- F2The restricted stock units were granted on 02/12/2018 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The restricted stock units become payable in Common Stock on the vesting date of 02/12/2021.
- F3The Restricted Stock Units that Ms. Ackerman has deferred receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 147 Restricted Stock Units.
- F4The employee stock options were granted on 02/12/2018 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exercisable in three annual installments of 1/3 of the award starting on 02/12/2019.