SEC Form 4 · accession 0000091142-18-000052

SMITH A O CORP · AOS

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

Reporting owner

Officer — SVP, Strategy & Corporate Dev.

Period of report

Jun 5, 2018

Accepted (ET)

Jun 6, 2018 · 5:13 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
Common Stock^F1	Jun 5, 2018	S	949	$62.7157	D	23,978	D
Common Stock	Jun 5, 2018	M	2,330	$30.765	A	26,308	D
Common Stock	Jun 5, 2018	M	2,933	$31.67	A	29,241	D
Common Stock^F2	Jun 5, 2018	S	5,263	$62.7552	D	23,978	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Options (Right to Buy)^F3	$30.765	Jun 5, 2018	M	2,330	D	—	Feb 9, 2025	Common Stock	2,330	21,231	D
Employee Stock Options (Right to Buy)^F4	$31.67	Jun 5, 2018	M	2,933	D	—	Feb 8, 2026	Common Stock	2,933	18,298	D

F1The price in Column 4 is a weighted average price. The prices actually received ranged from $62.63 to $62.89. 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 price in Column 4 is a weighted average price. The prices actually received ranged from $62.61 to $62.97. 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.
F3The 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.
F4The 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.