0000091142-20-000051.txt : 20200923 0000091142-20-000051.hdr.sgml : 20200923 20200923103953 ACCESSION NUMBER: 0000091142-20-000051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200922 FILED AS OF DATE: 20200923 DATE AS OF CHANGE: 20200923 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goodwin Wallace E CENTRAL INDEX KEY: 0001736083 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00475 FILM NUMBER: 201191176 MAIL ADDRESS: STREET 1: LOCHINVAR, LLC STREET 2: 300 MADDOX SIMPSON PARKWAY CITY: LEBANON STATE: TN ZIP: 37090 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 2020-09-22 0000091142 SMITH A O CORP AOS 0001736083 Goodwin Wallace E LOCHINVAR, LLC 300 MADDOX SIMPSON PARKWAY LEBANON TN 37090 0 1 0 0 President & GM, Lochinvar, LLC Common Stock 2020-09-22 4 M 0 5600 10.779 A 21698 D Common Stock 2020-09-22 4 S 0 5600 52.2787 D 16098 D Employee Stock Options (Right to Buy) 10.779 2020-09-22 4 M 0 5600 0 D 2021-02-07 Common Stock 5600 67680 D Mr. Goodwin is a participant in the A. O. Smith Dividend Reinvestment Plan ('Plan") and receives a quarterly dividend pursuant to the Plan. The total amount of dividends received was 43 shares of Common Stock. The price in Column 4 is a weighted average price. The prices actually received ranged from $51.77 to $52.50. 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 employee stock options were granted on 02/07/2011 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 02/07/2012. James F. Stern, Attorney-in-Fact for Wallace E. Goodwin 2020-09-23