Filing Details
- Accession Number:
- 0000091142-21-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-17 14:45:43
- Reporting Period:
- 2021-02-12
- Accepted Time:
- 2021-02-17 14:45:43
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-02-12 | 1,415 | $60.65 | 5,478 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2021-02-12 | 557 | $60.65 | 4,921 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2021-02-12 | 4,850 | $31.67 | 9,771 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-12 | 4,850 | $60.22 | 4,921 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2021-02-12 | 1,415 | $0.00 | 1,415 | $60.65 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2021-02-12 | 4,850 | $0.00 | 4,850 | $31.67 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,230 | No | 4 | M | Direct | ||
| 45,125 | 2026-02-08 | No | 4 | M | Direct |
Footnotes
- The price in Column 4 is a weighted average price. The prices actually received ranged from $60.14 to $60.39. 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.
- 1,415 Restricted Stock Units were granted on 02/12/2018, under the A. O. Smith Combined Incentive Compensation PLan, a transaction exempt under Rule 16b-3. 1,415 Restricted Stock Units vested on 02/12/2021. As a result of vesting, the Company is obligated to deliver 1,415 shares of Common Stock to the reporting person.
- The employee stock options wre granted on 02/08/2016 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 02/08/2017.
Billionaire Hedge Funds
