David R. Warren - 11 May 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
Issuer symbol: AOS
Transactions as of: 11 May 2021
Net transactions value: -$917,726
Form type: 4
Filing time: 12 May 2021, 16:10:54 UTC
Next filing: 09 Feb 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AOS	Common Stock	Options Exercise	$39,825	+1,714	+28%	$23.24	7,808	11 May 2021	Direct
transaction	AOS	Common Stock	Options Exercise	$107,431	+3,492	+45%	$30.76	11,300	11 May 2021	Direct
transaction	AOS	Common Stock	Options Exercise	$180,836	+5,710	+51%	$31.67	17,010	11 May 2021	Direct
transaction	AOS	Common Stock	Options Exercise	$562,251	+11,377	+67%	$49.42	28,387	11 May 2021	Direct
transaction	AOS	Common Stock	Options Exercise	$343,317	+8,099	+29%	$42.39	36,486	11 May 2021	Direct
transaction	AOS	Common Stock	Sale	$2,151,386	-30,392	-83%	$70.79	6,094	11 May 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	-1,714	-2.1%	$0.000000	78,092	11 May 2021	Common Stock	1,714	$23.24	Direct	F2
transaction	AOS	Employee Stock Options (Right to Buy)	Options Exercise	$0	-3,492	-4.5%	$0.000000	74,600	11 May 2021	Common Stock	3,492	$30.76	Direct	F3
transaction	AOS	Employee Stock Options (Right to Buy)	Options Exercise	$0	-5,710	-7.7%	$0.000000	68,890	11 May 2021	Common Stock	5,710	$31.67	Direct	F4
transaction	AOS	Employee Stock Options (Right to Buy)	Options Exercise	$0	-11,377	-17%	$0.000000	57,513	11 May 2021	Common Stock	11,377	$49.42	Direct	F5
transaction	AOS	Employee Stock Options (Right to Buy)	Options Exercise	$0	-8,099	-14%	$0.000000	49,414	11 May 2021	Common Stock	8,099	$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.