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SMITH A O CORP — Director's Dealing 2021
Dec 3, 2021
30593_dirs_2021-12-03_effa5272-d482-4c1c-8b8a-f7e5bc8edcd3.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: SMITH A O CORP (AOS)
CIK: 0000091142
Period of Report: 2021-12-01
Reporting Person: Otchere Benjamin A (Vice President and Controller)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1906 | Indirect |
| Common Stock | 1 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Units | $49.42 | Common Stock (335.0) | Direct | ||
| Restricted Stock Units | $49.39 | Common Stock (530.0) | Direct | ||
| Restricted Stock Units | $60.82 | Common Stock (370.0) | Direct | ||
| Employee Stock Options (Right to Buy) | $61.76 | 2028-02-12 | Common Stock (810.0) | Direct | |
| Employee Stock Options (Right to Buy) | $49.42 | 2029-02-11 | Common Stock (1525.0) | Direct | |
| Employee Stock Options (Right to Buy) | $42.39 | 2030-02-10 | Common Stock (2760.0) | Direct | |
| Employee Stock Options (Right to Buy) | $60.82 | 2031-02-01 | Common Stock (1605.0) | Direct |
Footnotes
F1: 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.
F2: The restricted stock units were granted on 02/10/2020 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 02/10/2023.
F3: The restricted stock units were granted on 02/08/2021 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 02/08/2024.
F4: The employee stock options were granted on 02/12/2018, 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 02/12/2019.
F5: 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 became exercisable in three annual installments of 1/3 of the award starting on 02/11/2020.
F6: The employee stock options were granted on 02/10/2020, 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 02/10/2021.
F7: The employee stock options were granted on 02/08/2021, 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 02/08/2022.