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SMITH A O CORP — Director's Dealing 2017
Apr 17, 2017
30593_dirs_2017-04-17_4eb01b52-552b-4c55-a4bc-9e91af2f92ea.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SMITH A O CORP (AOS)
CIK: 0000091142
Period of Report: 2017-04-13
Reporting Person: SMITH BRUCE M (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-04-13 | Restricted Stock Units | $49.83 | A | 2509 | Acquired | Common Stock (2509) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 15892 | Direct |
| Common Stock | 2400 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class A Common Stock | $0 | Common Stock (0) | 453964 | Indirect |
Footnotes
F1: On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 7,946 additional shares of Common Stock.
F2: Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan.
F3: On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 1,200 additional shares of Common Stock.
F4: The reporting person beneficially owns these shares as settlor of a revocable family trust.
F5: Payment of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the average of the high and low price of Common Stock on April 13, 2017.
F6: The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
F7: On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 57,106 additional Restricted Stock Units.The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 577 units of Restricted Stock Units.
F8: 1 for 1.
F9: Convertible at any time into Common Stock.
F10: None.
F11: On October 5, 2016, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 226,982 additional shares of Class A Common Stock.