SEC Form 5/A · accession 0000091142-19-000016
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
James F Stern
Officer — Exec VP, General Counsel & Sec
Period of report
Dec 31, 2016
Accepted (ET)
Feb 12, 2019 · 3:30 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,F2 | Dec 8, 2016 | G | 3,000 | $0.00 | D | 150,586 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Gift
- F2Mr. Stern was a participant in the A. O. Smith Dividend Reinvestment Plan ('Plan") from May 2014 to February 2016 and received a quarterly dividend pursuant to the Plan. The total amount of dividends received was 1,866 shares of Common Stock. On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for-1, resulting in the reporting person's ownership of 1,866 additional shares of Common Stock.