Filing Details
- Accession Number:
- 0000091142-16-000119
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-14 09:13:05
- Reporting Period:
- 2016-11-09
- Filing Date:
- 2016-11-14
- Accepted Time:
- 2016-11-14 09:13:05
- 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 |
|---|---|---|---|---|---|---|---|
| 1566398 | T Charles Lauber | A. O. Smith Corporation 11270 West Park Place Milwaukee WI 53224 | Svp, Strategy & Corporate Dev. | 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 | 2016-11-09 | 4,000 | $17.46 | 27,980 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-09 | 4,800 | $23.24 | 32,780 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-09 | 6,327 | $46.62 | 26,453 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2016-11-10 | 2,473 | $48.12 | 23,980 | 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 |
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 | 2016-11-09 | 4,000 | $0.00 | 4,000 | $17.46 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2016-11-09 | 4,800 | $0.00 | 4,800 | $23.24 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 22,990 | 2014-02-11 | 2023-02-11 | No | 4 | M | Direct |
| 18,190 | 2015-02-10 | 2024-02-10 | 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 | 6,740 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 6,740 | Direct |
Footnotes
- On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 11,990 additional shares of Common Stock.
- On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 15,360 additional Employee Stock Options.
- On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 3,370 additional Restricted Stock Units.
- The restricted stock units become payable in Common Stock on the vesting date.
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