0000091142-21-000027.txt : 20210217 0000091142-21-000027.hdr.sgml : 20210217 20210217144543 ACCESSION NUMBER: 0000091142-21-000027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210212 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 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: 21644084 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 2021-02-12 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 2021-02-12 4 A 0 1415 60.65 A 5478 D Common Stock 2021-02-12 4 F 0 557 60.65 D 4921 D Common Stock 2021-02-12 4 M 0 4850 31.67 A 9771 D Common Stock 2021-02-12 4 S 0 4850 60.2193 D 4921 D Restricted Stock Units 60.65 2021-02-12 4 M 0 1415 0 D Common Stock 1415 6230 D Employee Stock Options (Right to Buy) 31.67 2021-02-12 4 M 0 4850 0 D 2026-02-08 Common Stock 4850 45125 D The price in Column 4 is a weighted average price. The prices actually received ranged from $60.14 to $60.39. 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. 1,415 Restricted Stock Units were granted on 02/12/2018, under the A. O. Smith Combined Incentive Compensation PLan, a transaction exempt under Rule 16b-3. 1,415 Restricted Stock Units vested on 02/12/2021. As a result of vesting, the Company is obligated to deliver 1,415 shares of Common Stock to the reporting person. The employee stock options wre granted on 02/08/2016 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 02/08/2017. James F. Stern, Attorney-in-Fact for Paul R. Dana 2021-02-17