Form 4 for AOS A. O. Smith
Accepted 2023-02-15 00:00:00 ET · period of report 2023-02-13 · accession 0000091142-23-000034 · 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 | 2023-02-15 | 2023-02-15 | AOS | Heideman Robert J | CTO, Senior VP | S - Sale+OE | $67.31 | -12.3K | 11.4K | -52% | -$826.8K |
| D | 2023-02-15 | 2023-02-15 | AOS | Heideman Robert J | CTO, Senior VP | M - OptEx | $42.39 | +12.3K | 23.7K | +108% | +$520.7K |
| D | 2023-02-15 | 2023-02-15 | AOS | Heideman Robert J | CTO, Senior VP | M - OptEx | $0.00 | -12.3K | 32.9K | -27% | $0 |
| D | 2023-02-15 | 2023-02-13 | AOS | Heideman Robert J | CTO, Senior VP | A - Grant | $0.00 | +3,425 | 7,665 | +81% | $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 | 2023-02-15 | S | D | 12,283 | $67.31 | 11,412 | D | — | — | (F1) The price in Column 4 is a weighted average price. The prices actually received ranged from $67.12 to $67.52. 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. |
| 2 | Common | Common Stock | 2023-02-15 | M | A | 12,283 | $42.39 | 23,695 | D | — | — | |
| 3 | Derivative | Employee Stock Options (Right to Buy) | 2023-02-15 | M | D | 12,283 | $0.00 | 32,887 | D | $42.39 · — to 2030-02-10 | 12,283 Common Stock | (F4) 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 become exercisable in three annual installments of 1/3 of the award starting on 02/10/2021. |
| 4 | Derivative | Restricted Stock Units | 2023-02-13 | A | A | 3,425 | $0.00 | 7,665 | D | $0.00 · — to — | 3,425 Common Stock | (F2) Each restricted stock unit represents the right to receive, at settlement, one share of Common Stock. (F3) The restricted stock units were granted on 02/13/2023 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 02/13/2026. |