SEC Form 4 · accession 0000091142-18-000023
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Heideman
Officer — Senior VP-Chief Tech. Officer
Period of report
Feb 13, 2018
Accepted (ET)
Feb 14, 2018 · 4:08 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 | Feb 13, 2018 | M | 5,533 | $30.76 | A | 34,099 | D | |
| Common Stock | Feb 13, 2018 | M | 6,073 | $31.67 | A | 40,172 | D | |
| Common StockF1 | Feb 13, 2018 | S | 11,606 | $61.7394 | D | 28,566 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F2 | $30.76 | Feb 13, 2018 | M | 5,533 | D | — | Feb 9, 2025 | Common Stock | 5,533 | 33,256 | D |
| Employee Stock OptionsF3 | $31.67 | Feb 13, 2018 | M | 6,073 | D | — | Feb 8, 2026 | Common Stock | 6,073 | 27,183 | D |
Explanation of responses
- F1The price in Column 4 is a weighted average price. The prices actually received ranged from $61.42 to $62.09. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported on this Form 4 utilizing an average weighted price.
- F2The employee stock options were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/09/2016.
- F3The employee stock options were granted on 02/08/2016, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/08/2017.