0000091142-18-000019.txt : 20180213 0000091142-18-000019.hdr.sgml : 20180213 20180213173349 ACCESSION NUMBER: 0000091142-18-000019 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180209 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN JAMES F CENTRAL INDEX KEY: 0001399737 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00475 FILM NUMBER: 18605242 MAIL ADDRESS: STREET 1: A. O. SMITH CORPORATION STREET 2: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH A O CORP CENTRAL INDEX KEY: 0000091142 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD APPLIANCES [3630] IRS NUMBER: 390619790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 BUSINESS PHONE: 4143594000 MAIL ADDRESS: STREET 1: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-02-09 0000091142 SMITH A O CORP AOS 0001399737 STERN JAMES F A. O. SMITH CORPORATION 11270 WEST PARK PLACE MILWAUKEE WI 53224 0 1 0 0 Exec VP, General Counsel & Sec Common Stock 2018-02-09 4 M 0 5930 60.11 A 152187 D Common Stock 2018-02-09 4 F 0 2849 60.11 D 149338 D Restricted Stock Units 60.11 2018-02-09 4 M 0 5930 0 D Common Stock 5930 9675 D Restricted Stock Units 61.76 2018-02-12 4 A 0 3740 0 A Common Stock 3740 13415 D Employee Stock Options (Right to Buy) 61.76 2018-02-12 4 A 0 15550 0 A 2028-02-12 Common Stock 15550 75030 D 5,930 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 5,930 Restricted Stock Units vested on 02/09/2018. As a result of vesting, the Company is obligated to deliver 5,930 shares of Common Stock to the reporting person. The restricted stock units were granted on 02/12/2018 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The restricted stock units become payable in Common Stock on the vesting date of 02/12/2021. The employee stock options were granted on 02/12/2018 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exercisable in three annual installments of 1/3 of the award starting on 02/12/2019. Wendy L. Grant, Attorney-in-Fact for James F. Stern 2018-02-13