Filing Details

Accession Number:
0000091142-21-000088
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-05-12 13:00:00
Reporting Period:
2021-05-11
Accepted Time:
2021-05-12 16:10:54
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
1710905 R David Warren A. O. Smith Corporation
500 Tennessee Waltz Parkway
Ashland City TN 37015
Senior Vp & President And Gm 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 2021-05-11 1,714 $23.24 7,808 No 4 M Direct
Common Stock Acquisiton 2021-05-11 3,492 $30.77 11,300 No 4 M Direct
Common Stock Acquisiton 2021-05-11 5,710 $31.67 17,010 No 4 M Direct
Common Stock Acquisiton 2021-05-11 11,377 $49.42 28,387 No 4 M Direct
Common Stock Acquisiton 2021-05-11 8,099 $42.39 36,486 No 4 M Direct
Common Stock Disposition 2021-05-11 30,392 $70.79 6,094 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M 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 Employee Stock Options (Right to Buy) Disposition 2021-05-11 1,714 $0.00 1,714 $23.24
Common Stock Employee Stock Options (Right to Buy) Disposition 2021-05-11 3,492 $0.00 3,492 $30.77
Common Stock Employee Stock Options (Right to Buy) Disposition 2021-05-11 5,710 $0.00 5,710 $31.67
Common Stock Employee Stock Options (Right to Buy) Disposition 2021-05-11 11,377 $0.00 11,377 $49.42
Common Stock Employee Stock Options (Right to Buy) Disposition 2021-05-11 8,099 $0.00 8,099 $42.39
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
78,092 2024-02-10 No 4 M Direct
74,600 2025-02-09 No 4 M Direct
68,890 2026-02-08 No 4 M Direct
57,513 2029-02-11 No 4 M Direct
49,414 2030-02-10 No 4 M Direct
Footnotes
  1. The price in Column 4 is a weighted average price. The prices actually received ranged from $70.69 to $70.94. 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.
  2. 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.
  3. The employee stock options were granted on 02/09/2015 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 02/09/2016.
  4. The employee stock options were granted on 02/08/2016 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 02/08/2017.
  5. 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 became exercisable in three annual installments of 1/3 of the award starting on 02/11/2020.
  6. The employee stock options were granted on 02/10/2020 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 02/10/2021.