Filing Details
- Accession Number:
- 0000091142-21-000057
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2021-04-01 15:29:00
- Reporting Period:
- 2021-03-29
- Accepted Time:
- 2021-04-01 15:29:00
- Original Submission Date:
- 2021-04-30
- 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 |
|---|---|---|---|---|---|---|---|
| 1736083 | E Wallace Goodwin | Lochinvar, Llc 300 Maddox Simpson Parkway Lebanon TN 37090 | Svp; Pres & Gm, Lochinvar, Llc | 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 | 2021-03-29 | 5,300 | $17.46 | 22,150 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-29 | 5,300 | $69.97 | 16,850 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-30 | 1,505 | $17.46 | 18,355 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-30 | 1,505 | $69.84 | 16,850 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Employee Stock Options (Right to Buy) | Disposition | 2021-03-29 | 5,300 | $0.00 | 5,300 | $17.46 |
| Common Stock | Employee Stock Options (Right to Buy) | Disposition | 2021-03-30 | 1,505 | $0.00 | 1,505 | $17.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 58,670 | 2023-02-11 | No | 4 | M | Direct | |
| 57,165 | 2023-02-11 | No | 4 | M | Direct |
Footnotes
- Mr. Goodwin s a participant in the A. O. Smith Dividend Reinvestment Plan ("Plan") and receives a quarterly dividend pursuant to the Plan. The total amount of dividends received was 12 shares of Common Stock.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $69.80 to $70.09. 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 price in Column 4 is a weighted average price. The prices actually received ranged from $69.80 to $69.95. The reporting person has provided to the issuer, and will provide to any security holder of 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 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.
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