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SMITH A O CORP — Director's Dealing 2018
Jun 6, 2018
30593_dirs_2018-06-06_41bff54a-c0d7-4ec6-8c58-e7a62c4421f9.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: 2018-06-05
Reporting Person: Lauber Charles T (SVP, Strategy & Corporate Dev.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-06-05 | Common Stock | S | 949 | $62.7157 | Disposed | 23978 | Direct |
| 2018-06-05 | Common Stock | M | 2330 | $30.765 | Acquired | 26308 | Direct |
| 2018-06-05 | Common Stock | M | 2933 | $31.67 | Acquired | 29241 | Direct |
| 2018-06-05 | Common Stock | S | 5263 | $62.7552 | Disposed | 23978 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-06-05 | Employee Stock Options (Right to Buy) | $30.765 | M | 2330 | Disposed | 2025-02-09 | Common Stock (2330) | Direct |
| 2018-06-05 | Employee Stock Options (Right to Buy) | $31.67 | M | 2933 | Disposed | 2026-02-08 | Common Stock (2933) | Direct |
Footnotes
F1: The price in Column 4 is a weighted average price. The prices actually received ranged from $62.63 to $62.89. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported on this Form 4 utilizing an average weighted price.
F2: The price in Column 4 is a weighted average price. The prices actually received ranged from $62.61 to $62.97. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported on this Form 4 utilizing an average weighted price.
F3: The 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 became exercisable in three annual installments of 1/3 of the award starting on 02/09/2016.
F4: The employee stock options were granted on 02/08/2016 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/08/2017.