SEC Form 4 · accession 0000091142-19-000009
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas Samuel Karge
Officer — SVP - President NA Water Treat
Period of report
Feb 11, 2019
Accepted (ET)
Feb 12, 2019 · 3:21 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | $49.42 | Feb 11, 2019 | A | 1,165 | A | — | — | Common Stock | 1,165 | 2,050 | D |
| Employee Stock Options (Right to Buy)F2 | $49.42 | Feb 11, 2019 | A | 5,310 | A | — | Feb 11, 2029 | Common Stock | 5,310 | 9,010 | D |
Explanation of responses
- F1The restricted stock units were granted on 02/11/2019 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 02/11/2022.
- F2The employee stock options were granted on 02/11/2019 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 02/11/2020.