0000091142-19-000004.txt : 20190212 0000091142-19-000004.hdr.sgml : 20190212 20190212151533 ACCESSION NUMBER: 0000091142-19-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190208 FILED AS OF DATE: 20190212 DATE AS OF CHANGE: 20190212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dana Paul R CENTRAL INDEX KEY: 0001639644 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00475 FILM NUMBER: 19590259 MAIL ADDRESS: STREET 1: APCOM STREET 2: 125 SOUTHEAST PARKWAY CITY: FRANKLIN STATE: TN ZIP: 37064 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH A O CORP CENTRAL INDEX KEY: 0000091142 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD APPLIANCES [3630] IRS NUMBER: 390619790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 BUSINESS PHONE: 4143594000 MAIL ADDRESS: STREET 1: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-02-08 0000091142 SMITH A O CORP AOS 0001639644 Dana Paul R A. O. SMITH CORPORATION 500 TENNESSEE WALTZ PARKWAY ASHLAND CITY TN 37015 0 1 0 0 SVP, Global Operations Common Stock 2019-02-08 4 A 0 2080 48.72 A 5891 D Common Stock 2019-02-08 4 F 0 926 48.72 D 4965 D Common Stock 2019-02-11 4 M 0 2266 17.462 A 7231 D Common Stock 2019-02-11 4 M 0 2570 23.235 A 9801 D Common Stock 2019-02-11 4 S 0 4836 49.5038 D 4965 D Restricted Stock Units 48.72 2019-02-08 4 M 0 2080 0 D Common Stock 2080 2995 D Restricted Stock Units 49.42 2019-02-11 4 A 0 2005 0 A Common Stock 2005 5000 D Employee Stock Options (Right to Buy) 49.42 2019-02-11 4 A 0 9145 0 A 2029-02-11 Common Stock 9145 43586 D Employee Stock Options (Right to Buy) 17.462 2019-02-11 4 M 0 2266 0 D 2023-02-11 Common Stock 2266 41320 D Employee Stock Options (Right to Buy) 23.235 2019-02-11 4 M 0 2570 0 D 2024-02-10 Common stock 2570 38750 D 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. 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. 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. 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. 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. 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. James F. Stern, Attorney-in-Fact for Paul R. Dana 2019-02-12