Filing Details

Accession Number:
0000091142-19-000004
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-12 15:15:33
Reporting Period:
2019-02-08
Accepted Time:
2019-02-12 15:15:33
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
1639644 R Paul Dana A. O. Smith Corporation
500 Tennessee Waltz Parkway
Ashland City TN 37015
Svp, Global Operations 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 2019-02-08 2,080 $48.72 5,891 No 4 A Direct
Common Stock Disposition 2019-02-08 926 $48.72 4,965 No 4 F Direct
Common Stock Acquisiton 2019-02-11 2,266 $17.46 7,231 No 4 M Direct
Common Stock Acquisiton 2019-02-11 2,570 $23.24 9,801 No 4 M Direct
Common Stock Disposition 2019-02-11 4,836 $49.50 4,965 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
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 Restricted Stock Units Disposition 2019-02-08 2,080 $0.00 2,080 $48.72
Common Stock Restricted Stock Units Acquisiton 2019-02-11 2,005 $0.00 2,005 $49.42
Common Stock Employee Stock Options (Right to Buy) Acquisiton 2019-02-11 9,145 $0.00 9,145 $49.42
Common Stock Employee Stock Options (Right to Buy) Disposition 2019-02-11 2,266 $0.00 2,266 $17.46
Common Stock Employee Stock Options (Right to Buy) Disposition 2019-02-11 2,570 $0.00 2,570 $23.24
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,995 No 4 M Direct
5,000 No 4 A Direct
43,586 2029-02-11 No 4 A Direct
41,320 2023-02-11 No 4 M Direct
38,750 2024-02-10 No 4 M Direct
Footnotes
  1. 2,080 Restricted Stock Units were granted on 02/08/2016, under the A. O. Smith Combined Incentive Compensation PLan, a transaction exempt under Rule 16b-3. 2,080 Restricted Stock Units vested on 02/08/2019. As a result of vesting, the Company is obligated to deliver 2,080 shares of Common Stock to the reporting person.
  2. The price in Column 4 is a weighted average price. The prices actually received ranged from $49.46 to $49.54. 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 on this Form 4 utilizing an average weighted price.
  3. The restricted stock units were granted on 02/11/2019 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The restricted stock units become payable in Common Stock on the vesting date of 02/11/2022.
  4. The employee stock options were granted on 02/11/2019 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options become exercisable in three annual installments of 1/3 of the award starting on 02/11/2020.
  5. The employee stock options were granted on 02/11/2013 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/11/2014.
  6. The employee stock options were granted on 02/10/2014 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exercisable in three annual installments of 1/3 of the award starting on 02/10/2015.