0000091142-21-000091.txt : 20210513 0000091142-21-000091.hdr.sgml : 20210513 20210513120758 ACCESSION NUMBER: 0000091142-21-000091 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210503 FILED AS OF DATE: 20210513 DATE AS OF CHANGE: 20210513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN JAMES F CENTRAL INDEX KEY: 0001399737 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-00475 FILM NUMBER: 21918130 MAIL ADDRESS: STREET 1: A. O. SMITH CORPORATION STREET 2: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH A O CORP CENTRAL INDEX KEY: 0000091142 STANDARD INDUSTRIAL CLASSIFICATION: HOUSEHOLD APPLIANCES [3630] IRS NUMBER: 390619790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 BUSINESS PHONE: 4143594000 MAIL ADDRESS: STREET 1: 11270 WEST PARK PLACE CITY: MILWAUKEE STATE: WI ZIP: 53224 4/A 1 edgar.xml PRIMARY DOCUMENT X0306 4/A 2021-05-03 2021-05-04 0000091142 SMITH A O CORP AOS 0001399737 STERN JAMES F A. O. SMITH CORPORATION 11270 WEST PARK PLACE MILWAUKEE WI 53224 0 1 0 0 Exec VP, General Counsel & Sec Common Stock 2021-05-03 4 M 0 21260 30.765 A 172375 D Common Stock 2021-05-03 4 M 0 23040 31.67 A 195415 D Common Stock 2021-05-03 4 S 0 44300 70.1522 D 151115 D Employee Stock Options (Right to Buy) 30.765 2021-05-03 4 M 0 21260 0 D 2025-02-09 Common Stock 21260 128845 D Employee Stock Options (Right to Buy) 31.67 2021-05-03 4 M 0 23040 0 D 2026-02-08 Common Stock 23040 101805 D 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. 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. 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. Wendy Grant, Attorney-in-Fact for James F. Stern 2021-05-13