Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2014-02-11 11:15:20
Reporting Period:
Filing Date:
Accepted Time:
2014-02-11 11:15:20
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
91142 Smith A O Corp AOS Household Appliances (3630) 390619790
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1399737 F James Stern A. O. Smith Corporation
11270 West Park Place
Milwaukee WI 53224
Exec Vp, General Counsel & Sec 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 2014-02-07 6,600 $46.35 70,241 No 4 M Direct
Common Stock Disposition 2014-02-10 2,840 $46.67 67,401 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 2014-02-07 6,600 $0.00 6,600 $46.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,800 No 4 M Direct
  1. 6,600 Restricted Stock Units were granted on 02/07/2011, under the A. O. Smith Combined Incentive Compensation Plan, a transaction excempt under Rule 16b-3. 6,600 Restricted Stock Units vested on 02/07/2014. As of result of vesting, the Company is obligated to deliver 6,600 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).