SEC Form 4 · accession 0000091142-18-000051
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anindadeb Vjaykumar DasGupta
Officer — Senior Vice President
Period of report
Jun 1, 2018
Accepted (ET)
Jun 1, 2018 · 6:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000091142
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $63.62 | Jun 1, 2018 | A | 4,385 | A | — | Jun 1, 2028 | Common Stock | 4,385 | 4,385 | D |
| Restricted Stock UnitsF2 | $63.62 | Jun 1, 2018 | A | 1,035 | A | — | — | Common Stock | 1,035 | 1,035 | D |
Explanation of responses
- F1The employee stock options were granted on 06/01/2018 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 06/01/2019.
- F2The restricted stock units were granted on 06/01/2018 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 06/01/2021.