UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (Right to Buy) | Â (1) | Â (1) | Common Stock | 75,335 | $ 0 | D | Â |
Restrick Stock Units | Â (2) | Â (2) | Restricted Stock Units | 4,835 | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goodwin Wallace E LOCHINVAR, LLC 300 MADDOX SIMPSON PARKWAY LEBANON, TN 37090 |
 |  |  President & GM, Lochinvar, LLC |  |
James F. Stern, Attorney-in-Fact for Wallace E. Goodwin | 04/10/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Employee stock options were granted under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3: 13,200 were granted on 02/09/2009; 6,600 were granted on 02/08/2010; 5,600 were granted on 02/07/2011; 9,600 were granted on 02/13/2012; 8,400 were granted on 02/11/2013; 5,000 were granted on 02/10/2014; 7,570 were granted on 02/09/2015; 8,800 were granted on 02/08/2016; 5,565 were granted on 02/13/2017; and 5,000 were granted on 02/12/2018. 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. |
(2) | Restricted stock units were granted under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3: 2,190 were granted on 02/08/2016; 1,445 were granted on 02/13/2017 and 1,200 were granted on 02/12/2018. The restricted stock units become payable in Common Stock on the vesting date, which is three years after the grant date. |