Form 4 for AOS A. O. Smith
Accepted 2021-11-03 00:00:00 ET · period of report 2021-11-02 · accession 0000091142-21-000148 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-03 | 2021-11-02 | AOS | Rajendra Ajita G | Dir | M - OptEx | $31.67 | +124.0K | 136.1K | +1,023% | +$3.93M |
| D | 2021-11-03 | 2021-11-02 | AOS | Rajendra Ajita G | Dir | S - Sale+OE | $76.87 | -124.0K | 12.1K | -91% | -$9.53M |
| D | 2021-11-03 | 2021-11-02 | AOS | Rajendra Ajita G | Dir | M - OptEx | $0.00 | -124.0K | 426.3K | -23% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-02 | M | A | 124,010 | $31.67 | 136,137 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-02 | S | D | 124,010 | $76.87 | 12,127 | D | — | — | (F1) The price in Column 4 is a weighted average price. The prices actually received ranged from $75.02 to $78.70. 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. |
| 3 | Derivative | Employee Stock Options (Right to Buy) | 2021-11-02 | M | D | 124,010 | $0.00 | 426,275 | D | $31.67 · — to 2026-02-08 | 124,010 Common Stock | (F2) 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. |