Filing Details
- Accession Number:
- 0000091142-13-000061
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-08-20 15:26:32
- Reporting Period:
- 2013-08-19
- Filing Date:
- 2013-08-20
- Accepted Time:
- 2013-08-20 15:26:32
- 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 |
|---|---|---|---|---|---|---|---|
| 1464950 | M Wilfridus Brouwer | A. O. Smith (China) Investment Co., Ltd. No. 49 South Zhongshan Rd., 46Th Floor Nanjing F4 210005 | Senior V.p. And President | 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 | 2013-08-19 | 6,150 | $13.97 | 18,010 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2013-08-19 | 15,000 | $8.20 | 33,010 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-08-19 | 21,150 | $41.82 | 11,860 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | Employee Stock Options (Right to Buy) | Disposition | 2013-08-19 | 6,150 | $0.00 | 6,150 | $13.97 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2013-08-19 | 15,000 | $0.00 | 15,000 | $8.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 64,750 | 2011-02-08 | 2020-02-08 | No | 4 | M | Direct |
| 49,750 | 2010-03-02 | 2019-03-02 | 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 | 10,600 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 0 | 10,600 | Direct |
Footnotes
- On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 5,930 additional shares of Common Stock.
- On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 35,450 additional Employee Stock Options.
- On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 5,300 additional Restricted Stock Units.
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