SEC Form 4 · accession 0000091142-19-000013
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter R Martineau
Officer — Senior Vice President - CIO
Period of report
Feb 8, 2019
Accepted (ET)
Feb 12, 2019 · 3:25 pm EST
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 | Feb 8, 2019 | A | 1,820 | $48.72 | A | 6,033 | D | |
| Common Stock | Feb 8, 2019 | F | 813 | $48.72 | D | 5,220 | D |
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 | $48.72 | Feb 8, 2019 | M | 1,820 | D | — | — | Common | 1,820 | 2,515 | D |
| Restricted Stock UnitsF2 | $49.42 | Feb 11, 2019 | A | 1,870 | A | — | — | Common Stock | 1,870 | 4,385 | D |
| Employee Stock Options (Right to Buy)F3 | $49.42 | Feb 11, 2019 | A | 8,535 | A | — | Feb 11, 2029 | Common Stock | 8,535 | 25,208 | D |
Explanation of responses
- F11,820 Restricted Stock Units were granted on February 8, 2016, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 1,820 Restricted Stock Units vested on February 8, 2019. As a result of vesting, the Company is obligated to deliver 1,820 shares of Common Stock to the reporting Person.
- F2The 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.
- F3The 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.