SEC Form 4 · accession 0000091142-18-000021
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Warren
Officer — Senior VP & President and GM
Period of report
Feb 9, 2018
Accepted (ET)
Feb 13, 2018 · 5:36 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 | Feb 9, 2018 | M | 1,460 | $60.11 | A | 4,193 | D | |
| Common StockF2 | Feb 9, 2018 | F | 652 | $60.11 | D | 3,541 | 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 UnitsF1 | $60.11 | Feb 9, 2018 | M | 1,460 | D | — | — | Common Stock | 1,460 | 2,395 | D |
| Restricted Stock UnitsF3 | $61.76 | Feb 12, 2018 | A | 1,925 | A | — | — | Common Stock | 1,925 | 4,320 | D |
| Employee Stock Options (Right to Buy)F4 | $61.76 | Feb 12, 2018 | A | 7,995 | A | — | Feb 12, 2028 | Common Stock | 7,995 | 22,666 | D |
Explanation of responses
- F11,460 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 1,460 Restrited Stock Units vested on 02/09/2018. As a result of vesting, the Company is obligated to deliver 1,460 shares of Common Stock to the reporting person.
- F2Mr. Warren was a participant in the A. O. Smith Dividend Reinvestment Plan ('Plan") and received a quarterly dividend pursuant to the Plan. The total amount of dividends received was 3 shares of Common Stock.
- 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.