SEC Form 4 · accession 0000091142-18-000018

SMITH A O CORP · AOS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman, President & CEO

Period of report

Feb 9, 2018

Accepted (ET)

Feb 13, 2018 · 5:31 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^F1	Feb 8, 2018	G	51,441	$0.00	D	285,404	D
Common Stock^F2	Feb 9, 2018	M	29,500	$60.11	A	314,904	D
Common Stock	Feb 9, 2018	F	13,886	$60.11	D	301,018	D
Common Stock	holding	—	—		—	60,333	I	Held by Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F2	$60.11	Feb 8, 2018	M	29,500	D	—	—	Common Stock	29,500	51,565	D
Restricted Stock Unis^F3	$61.76	Feb 12, 2018	A	18,700	A	—	—	Common Stock	18,700	70,265	D
Employee Stock Options (Right to Buy)^F4	$61.76	Feb 12, 2018	A	77,740	A	—	Feb 12, 2028	Common Stock	77,740	819,680	D

F1Gift
F229,500 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction excempt under Rule 16b-3. 29,500 Restricted Stock Units vested on 02/09/2018. As a result of vesting, the Company is obligated to deliver 29,500 shares of Common Stock to the reporting person.
F3The 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.
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.