David R. Warren - May 11, 2021 Form 4 Insider Report for SMITH A O CORP (AOS)

Role
Senior VP & President and GM
Signature
James F. Stern, Attorney-in-Fact for David R. Warren
Stock symbol
AOS
Transactions as of
May 11, 2021
Transactions value $
-$917,726
Form type
4
Date filed
5/12/2021, 04:10 PM
Next filing
Feb 9, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AOS Common Stock Options Exercise $39.8K +1.71K +28.13% $23.24 7.81K May 11, 2021 Direct
transaction AOS Common Stock Options Exercise $107K +3.49K +44.72% $30.77 11.3K May 11, 2021 Direct
transaction AOS Common Stock Options Exercise $181K +5.71K +50.53% $31.67 17K May 11, 2021 Direct
transaction AOS Common Stock Options Exercise $562K +11.4K +66.88% $49.42 28.4K May 11, 2021 Direct
transaction AOS Common Stock Options Exercise $343K +8.1K +28.53% $42.39 36.5K May 11, 2021 Direct
transaction AOS Common Stock Sale -$2.15M -30.4K -83.3% $70.79 6.09K May 11, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AOS Employee Stock Options (Right to Buy) Options Exercise $0 -1.71K -2.15% $0.00 78.1K May 11, 2021 Common Stock 1.71K $23.24 Direct F2
transaction AOS Employee Stock Options (Right to Buy) Options Exercise $0 -3.49K -4.47% $0.00 74.6K May 11, 2021 Common Stock 3.49K $30.77 Direct F3
transaction AOS Employee Stock Options (Right to Buy) Options Exercise $0 -5.71K -7.65% $0.00 68.9K May 11, 2021 Common Stock 5.71K $31.67 Direct F4
transaction AOS Employee Stock Options (Right to Buy) Options Exercise $0 -11.4K -16.51% $0.00 57.5K May 11, 2021 Common Stock 11.4K $49.42 Direct F5
transaction AOS Employee Stock Options (Right to Buy) Options Exercise $0 -8.1K -14.08% $0.00 49.4K May 11, 2021 Common Stock 8.1K $42.39 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 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.
F6 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.