SEC Form 4 · accession 0001140361-15-005566
SMITH A O CORP · AOS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Stern
Officer — Exec VP, General Counsel & Sec
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 4:45 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 Stock | Nov 10, 2014 | G | 2,390 | $0.00 | D | 74,478 | D | |
| Common Stock | Nov 12, 2014 | G | 50 | $0.00 | D | 74,428 | D |
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 | 10,630 | A | — | Feb 9, 2025 | Common Stock | 10,630 | 96,080 | D |
| Restricted Stock UnitsF2 | $61.53 | Feb 9, 2015 | A | 2,965 | A | — | — | Common Stock | 2,965 | 17,315 | 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.