SEC Form 4 · accession 0000091142-18-000039
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce M Smith
Director
Period of report
Apr 9, 2018
Accepted (ET)
Apr 10, 2018 · 4:56 pm EDT
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 | holding | — | — | — | 15,892 | D | ||
| Common StockF2 | holding | — | — | — | 2,400 | I | In trust |
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,F8,F4 | $63.48 | Apr 9, 2018 | A | 1,970 | A | — | — | Common Stock | 1,970 | 120,802 | D |
| Class A Common StockF2,F5,F6,F7 | $0.00 | holding | — | — | — | — | — | Common Stock | 0 | 452,401 | I |
Explanation of responses
- F1Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan.
- F2The reporting person beneficially owns these shares as settlor of a revocable family trust.
- F3Payment of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the market price of the Common Stock on April 9, 2018.
- F4The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
- F51 for 1.
- F6Convertible at any time into Common Stock.
- F7None.
- F8The Restricted Stock Units 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 318 units of Restricted Stock Units.