Form 4 for AOS A. O. Smith
Accepted 2023-05-09 00:00:00 ET · period of report 2023-05-09 · accession 0000091142-23-000063 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-05-09 | 2023-05-09 | AOS | Otchere Benjamin A | VP, Ctrl | M - OptEx | $44.89 | +4,285 | 2,072 | New | +$192.4K |
| D | 2023-05-09 | 2023-05-09 | AOS | Otchere Benjamin A | VP, Ctrl | S - Sale+OE | $70.00 | -4,285 | 547 | -89% | -$299.9K |
| DM | 2023-05-09 | 2023-05-09 | AOS | Otchere Benjamin A | VP, Ctrl | M - OptEx | $0.00 | -4,285 | 5,200 | -45% | $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 | 2023-05-09 | M | A | 2,760 | $42.39 | 4,832 | D | — | — | |
| 2 | Common | Common Stock | 2023-05-09 | M | A | 1,525 | $49.42 | 2,072 | D | — | — | (F1) Mr. Otchere is 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 share of Common Stock. |
| 3 | Common | Common Stock | 2023-05-09 | S | D | 4,285 | $70.00 | 547 | D | — | — | (F2) The price in Column 4 is a weighted average price. The prices actually received ranged from $70.00 to $70.055. 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. |
| 4 | Derivative | Employee Stock Options (Right to Buy) | 2023-05-09 | M | D | 1,525 | $0.00 | 7,960 | D | $49.42 · — to 2029-02-11 | 1,525 Common Stock | (F3) 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. |
| 5 | Derivative | Employee Stock Options (Right to Buy) | 2023-05-09 | M | D | 2,760 | $0.00 | 5,200 | D | $42.39 · — to 2030-02-10 | 2,760 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 became exercisable in three annual installments of 1/3 of the award starting on 02/10/2021. |