0000091142-21-000088.txt : 20210512 0000091142-21-000088.hdr.sgml : 20210512 20210512161054 ACCESSION NUMBER: 0000091142-21-000088 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210511 FILED AS OF DATE: 20210512 DATE AS OF CHANGE: 20210512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warren David R CENTRAL INDEX KEY: 0001710905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-00475 FILM NUMBER: 21915182 MAIL ADDRESS: STREET 1: A. O. SMITH CORPORATION STREET 2: 500 TENNESSEE WALTZ PARKWAY CITY: ASHLAND CITY STATE: TN ZIP: 37015 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 2021-05-11 0000091142 SMITH A O CORP AOS 0001710905 Warren David R A. O. SMITH CORPORATION 500 TENNESSEE WALTZ PARKWAY ASHLAND CITY TN 37015 0 1 0 0 Senior VP & President and GM Common Stock 2021-05-11 4 M 0 1714 23.235 A 7808 D Common Stock 2021-05-11 4 M 0 3492 30.765 A 11300 D Common Stock 2021-05-11 4 M 0 5710 31.67 A 17010 D Common Stock 2021-05-11 4 M 0 11377 49.42 A 28387 D Common Stock 2021-05-11 4 M 0 8099 42.39 A 36486 D Common Stock 2021-05-11 4 S 0 30392 70.7879 D 6094 D Employee Stock Options (Right to Buy) 23.235 2021-05-11 4 M 0 1714 0 D 2024-02-10 Common Stock 1714 78092 D Employee Stock Options (Right to Buy) 30.765 2021-05-11 4 M 0 3492 0 D 2025-02-09 Common Stock 3492 74600 D Employee Stock Options (Right to Buy) 31.67 2021-05-11 4 M 0 5710 0 D 2026-02-08 Common Stock 5710 68890 D Employee Stock Options (Right to Buy) 49.42 2021-05-11 4 M 0 11377 0 D 2029-02-11 Common Stock 11377 57513 D Employee Stock Options (Right to Buy) 42.39 2021-05-11 4 M 0 8099 0 D 2030-02-10 Common Stock 8099 49414 D 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. 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. 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. 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. 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. 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. James F. Stern, Attorney-in-Fact for David R. Warren 2021-05-12