Filing Details

Accession Number:
0001140361-15-003284
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-30 14:54:08
Reporting Period:
2015-01-29
Filing Date:
2015-01-30
Accepted Time:
2015-01-30 14:54:08
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
1507959 J Robert Heideman A. O. Smith Corporate Technology Center
12100 West Park Place
Milwaukee WI 53224
Senior Vp, Cto 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 2015-01-29 1,548 $59.20 8,578 No 4 M Direct
Common Stock Disposition 2015-01-30 583 $59.36 7,995 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2015-01-29 1,548 $0.00 1,548 $59.20
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,500 No 4 M Direct
Footnotes
  1. 1,800 Restricted Stock Units were granted on February 9, 2009, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 1,200 Restricted Stock Units were granted on February 8, 2010, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The Restricted Stock Units awarded to Mr. Heideman on February 9, 2009 and February 8, 2010 were deferred, with 50% distribution on January 15, 2014 and 50% distribution on January 15, 2015. These deferred Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. 1,548 Restricted Stock Units vested on January 15, 2015, and were delivered on January 29, 2015. As of result of vesting, the Company is obligated to deliver 1,548 shares of Common Stock to the reporting person.
  2. The reporting person sold these shares to obtain funds to pay the withholding taxes due as a result of the vesting of the restricted stock units described in footnote (1).
  3. The price in Column 4 is a weighted average price. The prices actually received ranged from $59.35 to $59.3646. 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 in this Form 4 utilizing an average weighted price.