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Filing Details

Accession Number:: 0000091142-19-000004
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-02-12 15:15:33
Reporting Period:: 2019-02-08

Accepted Time:: 2019-02-12 15:15:33
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
91142	Smith A O Corp	AOS	Household Appliances (3630)	390619790

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1639644	R Paul Dana	A. O. Smith Corporation 500 Tennessee Waltz Parkway Ashland City TN 37015	Svp, Global Operations	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2019-02-08	2,080	$48.72	5,891	No	4	A	Direct
Common Stock	Disposition	2019-02-08	926	$48.72	4,965	No	4	F	Direct
Common Stock	Acquisiton	2019-02-11	2,266	$17.46	7,231	No	4	M	Direct
Common Stock	Acquisiton	2019-02-11	2,570	$23.24	9,801	No	4	M	Direct
Common Stock	Disposition	2019-02-11	4,836	$49.50	4,965	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2019-02-08	2,080	$0.00	2,080	$48.72
Common Stock	Restricted Stock Units	Acquisiton	2019-02-11	2,005	$0.00	2,005	$49.42
Common Stock	Employee Stock Options (Right to Buy)	Acquisiton	2019-02-11	9,145	$0.00	9,145	$49.42
Common Stock	Employee Stock Options (Right to Buy)	Disposition	2019-02-11	2,266	$0.00	2,266	$17.46
Common Stock	Employee Stock Options (Right to Buy)	Disposition	2019-02-11	2,570	$0.00	2,570	$23.24

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2,995		No	4	M	Direct
5,000		No	4	A	Direct
43,586	2029-02-11	No	4	A	Direct
41,320	2023-02-11	No	4	M	Direct
38,750	2024-02-10	No	4	M	Direct

Footnotes

2,080 Restricted Stock Units were granted on 02/08/2016, under the A. O. Smith Combined Incentive Compensation PLan, a transaction exempt under Rule 16b-3. 2,080 Restricted Stock Units vested on 02/08/2019. As a result of vesting, the Company is obligated to deliver 2,080 shares of Common Stock to the reporting person.
The price in Column 4 is a weighted average price. The prices actually received ranged from $49.46 to $49.54. 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 restricted stock units were granted on 02/11/2019 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The restricted stock units become payable in Common Stock on the vesting date of 02/11/2022.
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 become exercisable in three annual installments of 1/3 of the award starting on 02/11/2020.
The employee stock options were granted on 02/11/2013 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 02/11/2014.
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.