Initial Statement of Beneficial Ownership (3)

Date : 05/02/2019 @ 5:26PM
Source : Edgar (US Regulatory)
Stock : A.O. Smith Corp. (AOS)
Quote : 45.07  0.47 (1.05%) @ 6:17PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Gurholt Helen E

2. Date of Event Requiring Statement (MM/DD/YYYY)
5/1/2019 

3. Issuer Name and Ticker or Trading Symbol

SMITH A O CORP [AOS]

(Last)        (First)        (Middle)

A. O. SMITH CORPORATION, 11270 WEST PARK PLACE

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Vice President and Controller /

(Street)

MILWAUKEE, WI 53224       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   1084   D  
 
Common Stock   308.7954   (1) I   401(K) Plan Trust  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Options (Right to Buy)     (2)   (2) Common Stock   9810   $0   D  
 
Restricted Stock Units     (3)   (3) Common Stock   930   $0   D  
 

Explanation of Responses:
(1)  The number of underlying securities is based on the stock fund balance of April 29, 2019. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 97.82% company stock and 2.18% money market fund. The stock account balance reflected in this report is based on an April 29, 2019, stock fund price of $203.423235 per share.
(2)  Employee stock options were granted under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3: 1,400 stock options were granted on 07/22/2013; 1,330 stock options were granted on 02/10/2014; 1,280 stock options were granted on 02/09/2015; 1,900 stock options were granted on 02/09/2015; 1,900 stock options were granted on 02/08/2016; 1,265 stock options were granted on 02/13/2017; 1,110 stock options were granted on 02/12/2018 and 1,525 stock options were granted on 02/11/2019. All stock options become exercisable in three annual installments of 1/3 of the award starting one year after the grant date . All employee stock options expire ten years after the date of the award.
(3)  Restricted stock units were granted under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3: 330 restricted stock units were granted on 02/13/2017; 265 restricted stock units were granted on 02/12/2018; and 335 restricted stock units were granted on 02/11/2019. The restricted stock units become payable in Common Stock on the vesting date, which is three years after the grant date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Gurholt Helen E
A. O. SMITH CORPORATION
11270 WEST PARK PLACE
MILWAUKEE, WI 53224


Vice President and Controller

Signatures
James F. Stern, Attorney-in-Fact for Helen E. Gurholt 5/2/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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