SEC Form 4 · accession 0001140361-15-005520
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia K Ackerman
Officer — VP, Investor Relations & Treas
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 4:32 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F1 | $61.53 | Feb 9, 2015 | A | 3,350 | A | — | Feb 9, 2025 | Common Stock | 3,350 | 10,387 | D |
| Restricted Stock UnitsF2 | $61.53 | Feb 9, 2015 | A | 935 | A | — | — | Common Stock | 935 | 8,352 | D |
Explanation of responses
- F1The 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 become exercisable in three annual installments of 1/3 of the award starting on 02/09/2016.
- F2The restricted stock units were granted on 02/09/2015 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 02/09/2018. The Plan permits the participant to defer receipt of the awards, and Patricia K. Ackerman has made a deferral.