Form 4 for AOS A. O. Smith
Accepted 2023-02-07 00:00:00 ET · period of report 2023-02-06 · accession 0000091142-23-000007 · 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 | 2023-02-07 | 2023-02-06 | AOS | Kempken Daniel L | SVP - Strategy, Corp. Dev | S - Sale+OE | $68.35 | -2,500 | 8,344 | -23% | -$170.9K |
| D | 2023-02-07 | 2023-02-06 | AOS | Kempken Daniel L | SVP - Strategy, Corp. Dev | M - OptEx | $17.46 | +2,500 | 10.8K | +30% | +$43.6K |
| D | 2023-02-07 | 2023-02-06 | AOS | Kempken Daniel L | SVP - Strategy, Corp. Dev | M - OptEx | $17.46 | -2,500 | 48.8K | -5% | -$43.6K |
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 | 2023-02-06 | S | D | 2,500 | $68.35 | 8,344 | D | — | — | (F1) Mr. Kempken was 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 1 shares of Common Stock. |
| 2 | Common | Common Stock | 2023-02-06 | M | A | 2,500 | $17.46 | 10,843 | D | — | — | |
| 3 | Derivative | Employee Stock Options (Right to Buy) | 2023-02-06 | M | D | 2,500 | $17.46 | 48,810 | D | $17.46 · — to 2023-02-11 | 2,500 Common Stock | (F2) 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 become exerciable in three annual installments of 1/3 of the award starting on 02/13/2014. |