AOS

SEC source: 0000091142-20-000015 · edgar.xml · derivative · entry 2

STERN JAMES F · CIK 0001399737 · Exec VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,510

Underlying: Common Stock · 5,915 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000015 · edgar.xml · derivative · entry 1

STERN JAMES F · CIK 0001399737 · Exec VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,205

Underlying: Common Stock · 30,775 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000014 · edgar.xml · derivative · entry 2

Rajendra Ajita G · CIK 0001315989 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,210

Underlying: Common Stock · 29,490 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/20/2020 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.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/20/2020 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.

SEC source: 0000091142-20-000014 · edgar.xml · derivative · entry 1

Rajendra Ajita G · CIK 0001315989 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,024,915

Underlying: Common Stock · 153,395 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000013 · edgar.xml · derivative · entry 2

Petrarca Mark A · CIK 0001310176 · Senior Vice Pres. - H.R. & P.A

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,450

Underlying: Common Stock · 3,890 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000013 · edgar.xml · derivative · entry 1

Petrarca Mark A · CIK 0001310176 · Senior Vice Pres. - H.R. & P.A

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,660

Underlying: Common Stock · 20,250 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000012 · edgar.xml · derivative · entry 2

Martineau Peter R · CIK 0001667767 · Senior Vice President - CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,720

Underlying: Common Stock · 2,335 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000012 · edgar.xml · derivative · entry 1

Martineau Peter R · CIK 0001667767 · Senior Vice President - CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,358

Underlying: Common Stock · 12,150 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000011 · edgar.xml · derivative · entry 2

Lauber Charles T · CIK 0001566398 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,500

Underlying: Common Stock · 7,085 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000011 · edgar.xml · derivative · entry 1

Lauber Charles T · CIK 0001566398 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,323

Underlying: Common Stock · 36,850 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000010 · edgar.xml · derivative · entry 3

Kempken Daniel L · CIK 0001522653 · SVP, Strategy & Corporate Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,065

Underlying: Common Stock · 1,400 shares

Expires not disclosed

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000010 · edgar.xml · derivative · entry 2

Kempken Daniel L · CIK 0001522653 · SVP, Strategy & Corporate Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,240

Underlying: Common Stock · 7,290 shares

Expires 2030-02-10

F2 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000009 · edgar.xml · derivative · entry 2

Karge Douglas Samuel · CIK 0001750276 · SVP - President NA Water Treat

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,025

Underlying: Common Stock · 975 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000009 · edgar.xml · derivative · entry 1

Karge Douglas Samuel · CIK 0001750276 · SVP - President NA Water Treat

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,070

Underlying: Common Stock · 5,060 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000008 · edgar.xml · derivative · entry 4

Heideman Robert J · CIK 0001507959 · Senior VP, CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,870

Underlying: Common Stock · 3,540 shares

Expires not disclosed

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000008 · edgar.xml · derivative · entry 3

Heideman Robert J · CIK 0001507959 · Senior VP, CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,731

Underlying: Common Stock · 18,425 shares

Expires 2030-02-10

F2 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000006 · edgar.xml · derivative · entry 2

Goodwin Wallace E · CIK 0001736083 · President & GM, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,260

Underlying: Common Stock · 1,945 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000006 · edgar.xml · derivative · entry 1

Goodwin Wallace E · CIK 0001736083 · President & GM, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,280

Underlying: Common Stock · 10,125 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000005 · edgar.xml · derivative · entry 2

DasGupta Anindadeb Vjaykumar · CIK 0001742101 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,925

Underlying: Common Stock · 1,555 shares

Expires not disclosed

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000005 · edgar.xml · derivative · entry 1

DasGupta Anindadeb Vjaykumar · CIK 0001742101 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,580

Underlying: Common Stock · 8,100 shares

Expires 2030-02-10

F1 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000004 · edgar.xml · derivative · entry 3

Dana Paul R · CIK 0001639644 · Senior VP Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,490

Underlying: Common Stock · 2,490 shares

Expires not disclosed

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

SEC source: 0000091142-20-000004 · edgar.xml · derivative · entry 2

Dana Paul R · CIK 0001639644 · Senior VP Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,440

Underlying: Common Stock · 12,960 shares

Expires 2030-02-10

F2 · derivative.exercise_date: 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.

SEC source: 0000091142-20-000003 · edgar.xml · derivative · entry 3

Ackerman Patricia K · CIK 0001532645 · SVP, IR,Treasurer & CRS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,096

Underlying: Common Stock · 1,400 shares

Expires not disclosed

F3 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

F4 · balance_after: The Restricted Stock Units that Ms. Ackerman has deferred received a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 330 Restricted Stock Units.

SEC source: 0000091142-20-000003 · edgar.xml · derivative · entry 2

Ackerman Patricia K · CIK 0001532645 · SVP, IR,Treasurer & CRS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,835

Underlying: Common Stock · 7,290 shares

Expires 2030-02-10

F2 · derivative.exercise_date: 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 exerciable in three annual installments of 1/3 of the award starting on 02/10/2021.

SEC source: 0000091142-20-000001 · edgar.xml · derivative · entry 3

Goodwin Wallace E · CIK 0001736083 · President & GM, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,155

Underlying: Common Stock · 6,600 shares

Expires 2020-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The employee stock options were granted on 02/08/2010 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 02/08/2011.

SEC source: 0000091142-20-000001 · edgar.xml · nonDerivative · entry 2

Goodwin Wallace E · CIK 0001736083 · President & GM, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,179

F2 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $42.60 to $43.53. 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.

SEC source: 0000091142-20-000001 · edgar.xml · nonDerivative · entry 1

Goodwin Wallace E · CIK 0001736083 · President & GM, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,779

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Mr. Goodwin 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 49 shares of Common Stock.

SEC source: 0000091142-19-000051 · edgar.xml · nonDerivative · entry 1

SMITH MARK D · CIK 0001236626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,113

SEC source: 0000091142-20-000003 · edgar.xml · nonDerivative · entry 1

Ackerman Patricia K · CIK 0001532645 · SVP, IR,Treasurer & CRS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,348

F1 · price: Gift

SEC source: 0000091142-20-000008 · edgar.xml · nonDerivative · entry 2

Heideman Robert J · CIK 0001507959 · Senior VP, CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,003

F1 · price: Gift

SEC source: 0000091142-19-000050 · edgar.xml · nonDerivative · entry 1

Rajendra Ajita G · CIK 0001315989 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,163

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $49.42 to $49.66. 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.

SEC source: 0000091142-20-000002 · edgar.xml · derivative · entry 5

SMITH BRUCE M · CIK 0001236625 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · In trust

Disclosed balance after: 229,401

Underlying: Common Stock · 223,000 shares

Expires not disclosed

F5 · derivative.exercise_price: Gift

F6 · derivative.exercise_date: Convertible at any time into Common Stock.

F7 · derivative.expiration_date: None.

F2 · ownership.nature: The reporting person beneficially owns these shares as settlor of a revocable family trust.

SEC source: 0000091142-19-000047 · edgar.xml · nonDerivative · entry 2

Rajendra Ajita G · CIK 0001315989 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,719

SEC source: 0000091142-19-000049 · edgar.xml · nonDerivative · entry 1

Gurholt Helen E · CIK 0001775339 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Indirect · 401(K) Plan Trust

Disclosed balance after: 0

F1 · shares: The number of underlying securities is based on the stock fund balance as of August 23, 2019 and varies from previously reported amounts due to changes in the price of A. O. Smith Corporation common stock. The actual number of shares issuable is not determinable since the stock fund is a unitized account consisting of 97.82% company stock and 2.18% money market fund. The stock account balance reflected in this report is based on an August 23, 2019, stock fund price of $45.8179.

SEC source: 0000091142-19-000047 · edgar.xml · derivative · entry 5

Rajendra Ajita G · CIK 0001315989 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 871,520

Underlying: Common Stock · 63,600 shares

Expires 2020-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The employee stock options were granted on 02/08/2010 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 02/08/2011.

SEC source: 0000091142-19-000047 · edgar.xml · nonDerivative · entry 1

Rajendra Ajita G · CIK 0001315989 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,161

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000091142-19-000042 · edgar.xml · nonDerivative · entry 1

Kadri Ilham · CIK 0001566514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,624

F1 · shares: Payment of retainer in stock under the A. O. Smith Corporation directors' compensation program based on the market price of the Common Stock on July 8, 2019.

SEC source: 0000091142-19-000043 · edgar.xml · nonDerivative · entry 1

SMITH BRUCE M · CIK 0001236625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,738

F1 · shares: Payment of retainer of stock under the A. O. Smith Corporation directors' compensation program based on the market price of the Common Stock on July 8, 2019.

SEC source: 0000091142-19-000046 · edgar.xml · nonDerivative · entry 1

WULF GENE C · CIK 0001215484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,485

F1 · shares: Payment of retainer in stock under the A. O. Smith Corporation directors' compensation program based on the average of the high and low price of Common Stock on July 8, 2019.

SEC source: 0000091142-19-000045 · edgar.xml · nonDerivative · entry 1

WOLF IDELLE K · CIK 0001196442 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,363

F1 · shares: Payment of retainer in stock under the A. O. Smith Corporation Directors' Compensation Plan based on the average of the high and low price of Common Stock on July 8, 2019.

SEC source: 0000091142-19-000044 · edgar.xml · nonDerivative · entry 1

SMITH MARK D · CIK 0001236626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,933

F1 · shares: Payment of retainer in stock under the A. O. Smith Corporation directors' compensation program based on the average of the high and low price of Common Stock on July 8, 2019.

SEC source: 0000091142-19-000041 · edgar.xml · nonDerivative · entry 1

JONES PAUL W · CIK 0001111599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,321

F1 · shares: Payment of retainer in stock under the A. O. Smith Corporation directors' compensation program based on the market price of the Common Stock on July 8, 2019.

SEC source: 0000091142-19-000040 · edgar.xml · derivative · entry 1

GREUBEL WILLIAM P · CIK 0001244813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,383

Underlying: Common Stock · 55 shares

Expires not disclosed

F1 · shares: Payment of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the market price of the Common Stock on July 8, 2019.

F2 · derivative.exercise_date: The Plan permits the participant to defer the receipt of the award, and Mr. Greubel has made a deferral.

F2 · derivative.expiration_date: The Plan permits the participant to defer the receipt of the award, and Mr. Greubel has made a deferral.

F3 · balance_after: The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 78 units of Restricted Stock Units.

SEC source: 0000091142-19-000039 · edgar.xml · derivative · entry 1

BROWN RONALD D · CIK 0001206562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,148

Underlying: Common Stock · 55 shares

Expires not disclosed

F1 · shares: Payment of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the market price of the Common Stock on July 8, 2019.

F2 · derivative.exercise_date: The Plan permits the participant to defer the receipt of the award, and Mr. Brown has made a deferral.

F2 · derivative.expiration_date: The Plan permits the participant to defer the receipt of the award, and Mr. Brown has made a deferral.

F3 · balance_after: The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 241 units of Restricted Stock Units.

SEC source: 0000091142-19-000015 · edgar.xml · nonDerivative · entry 1

Rajendra Ajita G · CIK 0001315989 · Chairman, President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,404

F1 · price: Gift

SEC source: 0000091142-20-000008 · edgar.xml · nonDerivative · entry 1

Heideman Robert J · CIK 0001507959 · Senior VP, CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,203

F1 · price: Gift

SEC source: 0000091142-19-000038 · edgar.xml · nonDerivative · entry 1

JONES PAUL W · CIK 0001111599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,266

SEC source: 0000091142-19-000036 · edgar.xml · nonDerivative · entry 4

Heideman Robert J · CIK 0001507959 · Senior VP Engineering & Tech.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,362

F1 · price: Gift

SEC source: 0000091142-19-000037 · edgar.xml · nonDerivative · entry 1

SMITH BRUCE M · CIK 0001236625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,683

SEC source: 0000091142-19-000035 · edgar.xml · derivative · entry 5

Dana Paul R · CIK 0001639644 · Senior VP Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,480

Underlying: Common Stock · 6,700 shares

Expires 2025-02-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The employee stock options were granted on 02/09/2015, 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 02/09/2016.