James F. Stern - May 3, 2021 Form 4/A - Amendment Insider Report for SMITH A O CORP (AOS)

Role
Exec VP, General Counsel & Sec
Signature
Wendy Grant, Attorney-in-Fact for James F. Stern
Stock symbol
AOS
Transactions as of
May 3, 2021
Transactions value $
-$1,724,002
Form type
4/A - Amendment
Date filed
5/13/2021, 12:07 PM
Date Of Original Report
May 4, 2021
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 $654K +21.3K +14.07% $30.77 172K May 3, 2021 Direct
transaction AOS Common Stock Options Exercise $730K +23K +13.37% $31.67 195K May 3, 2021 Direct
transaction AOS Common Stock Sale -$3.11M -44.3K -22.67% $70.15 151K May 3, 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 -21.3K -14.16% $0.00 129K May 3, 2021 Common Stock 21.3K $30.77 Direct F2
transaction AOS Employee Stock Options (Right to Buy) Options Exercise $0 -23K -18.45% $0.00 102K May 3, 2021 Common Stock 23K $31.67 Direct F3
* 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 $70.03 to $71.041. 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 02/09/2015 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.
F3 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.