SEC Form 4 · accession 0000091142-18-000061
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J. Wheeler
Officer — President and CEO · Director
Period of report
Sep 1, 2018
Accepted (ET)
Sep 5, 2018 · 3:56 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,F2 | $57.465 | Sep 1, 2018 | A | 16,755 | A | — | Sep 1, 2029 | Common Stock | 16,755 | 117,185 | D |
| Restricted Stock UnitsF1,F3 | $57.465 | Sep 1, 2018 | A | 3,915 | A | — | — | Common Stock | 3,915 | 19,130 | D |
Explanation of responses
- F1The Price of the Derivative Security is the Fair Market Value on September 4, 2018, which was the first day of trading after September 1, 2018.
- F2The employee stock options were granted on 09/01/2018 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 09/01/2019.
- F3The restricted stock units were granted on 09/01/2018 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 09/01/2021.