Filing Details
- Accession Number:
- 0000091142-13-000066
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-25 11:32:06
- Reporting Period:
- 2013-10-24
- Filing Date:
- 2013-10-25
- Accepted Time:
- 2013-10-25 11:32:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 91142 | Smith A O Corp | AOS | Household Appliances (3630) | 390619790 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1566652 | Wei Ding | A. O. Smith (China) Water Heater Co. Ltd 336 Yao Xin Avenue Nanjing F3 210038 | Svp; President And Gm, Aoscwhc | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-10-24 | 1,100 | $13.97 | 2,202 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-10-24 | 1,867 | $21.56 | 4,069 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-10-24 | 1,600 | $22.99 | 5,669 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-10-24 | 4,567 | $50.24 | 1,102 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2013-10-24 | 1,102 | $50.24 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2013-10-24 | 1,100 | $0.00 | 1,100 | $13.97 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2013-10-24 | 1,867 | $0.00 | 1,867 | $21.56 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2013-10-24 | 1,600 | $0.00 | 1,600 | $22.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,200 | 2011-02-08 | 2020-02-08 | No | 4 | M | Direct |
| 10,333 | 2012-02-07 | 2021-02-07 | No | 4 | M | Direct |
| 8,733 | 2013-02-13 | 2022-02-13 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | $0.00 | 0 | 9,200 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 9,200 | Direct |
Footnotes
- On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 551 additional shares of Common Stock.
- On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 6,650 additional Employee Stock Options.
- On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 4,600 additional Restricted Stock Units.
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