Filing Details
- Accession Number:
- 0000091142-16-000054
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-02-03 17:25:44
- Reporting Period:
- 2016-02-02
- Filing Date:
- 2016-02-03
- Accepted Time:
- 2016-02-03 17:25:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1399737 | F James Stern | A. O. Smith Corporation 11270 West Park Place Milwaukee WI 53224 | Exec Vp, General Counsel & Sec | 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 | 2015-02-02 | 17,000 | $21.56 | 100,978 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-02-02 | 18,000 | $22.99 | 118,978 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-02-02 | 21,584 | $68.86 | 97,394 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2015-02-03 | 10,122 | $68.46 | 87,272 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-02-03 | 3,294 | $67.83 | 83,978 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | 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 | 2016-02-02 | 17,000 | $0.00 | 17,000 | $21.56 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2016-02-02 | 18,000 | $0.00 | 18,000 | $22.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 51,180 | 2021-02-07 | No | 4 | M | Direct | |
| 33,180 | 2022-02-13 | No | 4 | M | Direct |
Footnotes
- The employee stock options were granted on 02/07/2011 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 02/07/2012.
- The employee stock options were granted on 02/13/2012 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 02/13/2013.
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