AOS

SEC source: 0000091142-18-000027 · edgar.xml · nonDerivative · entry 3

Ding Wei · CIK 0001566652 · President - A. O. Smith China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,853

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $65.07 to $65.59. 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: 0000091142-18-000027 · edgar.xml · nonDerivative · entry 2

Ding Wei · CIK 0001566652 · President - A. O. Smith China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,626

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: 0000091142-18-000027 · edgar.xml · nonDerivative · entry 1

Ding Wei · CIK 0001566652 · President - A. O. Smith China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,483

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: 0000091142-18-000037 · edgar.xml · nonDerivative · entry 1

JONES PAUL W · CIK 0001111599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,908

F1 · price: Gift

SEC source: 0000091142-18-000025 · edgar.xml · nonDerivative · entry 1

KITA JOHN J · CIK 0001236636 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,917

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $65.93 to $66.35. 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: 0000091142-18-000026 · edgar.xml · nonDerivative · entry 1

Rajendra Ajita G · CIK 0001315989 · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse's Revocable Trust

Disclosed balance after: 45,333

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $64.50 to $65.15. 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: 0000091142-18-000024 · edgar.xml · nonDerivative · entry 1

Rajendra Ajita G · CIK 0001315989 · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse's Revocable Trust

Disclosed balance after: 53,533

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $66.50 to $66.61. 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: 0000091142-18-000023 · edgar.xml · derivative · entry 5

Heideman Robert J · CIK 0001507959 · Senior VP-Chief Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,183

Underlying: Common Stock · 6,073 shares

Expires 2026-02-08

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 02/08/2016, 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.

SEC source: 0000091142-18-000023 · edgar.xml · derivative · entry 4

Heideman Robert J · CIK 0001507959 · Senior VP-Chief Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,256

Underlying: Common Stock · 5,533 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.

F2 · 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.

SEC source: 0000091142-18-000023 · edgar.xml · nonDerivative · entry 3

Heideman Robert J · CIK 0001507959 · Senior VP-Chief Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,566

F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $61.42 to $62.09. 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: 0000091142-18-000023 · edgar.xml · nonDerivative · entry 2

Heideman Robert J · CIK 0001507959 · Senior VP-Chief Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,172

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: 0000091142-18-000023 · edgar.xml · nonDerivative · entry 1

Heideman Robert J · CIK 0001507959 · Senior VP-Chief Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,099

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: 0000091142-18-000022 · edgar.xml · derivative · entry 5

Wheeler Kevin J. · CIK 0001566416 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,430

Underlying: Common Stock · 24,435 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000022 · edgar.xml · derivative · entry 4

Wheeler Kevin J. · CIK 0001566416 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,215

Underlying: Common Stock · 5,880 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000021 · edgar.xml · derivative · entry 5

Warren David R · CIK 0001710905 · Senior VP & President and GM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,666

Underlying: Common Stock · 7,995 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000021 · edgar.xml · derivative · entry 4

Warren David R · CIK 0001710905 · Senior VP & President and GM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,320

Underlying: Common Stock · 1,925 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000020 · edgar.xml · derivative · entry 5

Vallett William L Jr · CIK 0001566392 · CEO, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,635

Underlying: Common Stock · 5,890 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000020 · edgar.xml · derivative · entry 4

Vallett William L Jr · CIK 0001566392 · CEO, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,540

Underlying: Common Stock · 1,415 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000019 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,030

Underlying: Common Stock · 15,550 shares

Expires 2028-02-12

F3 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000019 · edgar.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,415

Underlying: Common Stock · 3,740 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000018 · edgar.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 819,680

Underlying: Common Stock · 77,740 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000018 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,265

Underlying: Common Stock · 18,700 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000017 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,630

Underlying: Common Stock · 10,215 shares

Expires 2028-02-12

F3 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000017 · edgar.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,640

Underlying: Common Stock · 2,460 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000016 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,673

Underlying: Common Stock · 5,000 shares

Expires 2028-02-12

F3 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000016 · edgar.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,335

Underlying: Common Stock · 1,200 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000015 · edgar.xml · derivative · entry 5

Lauber Charles T · CIK 0001566398 · SVP, Strategy & Corporate Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,561

Underlying: Common Stock · 7,775 shares

Expires 2028-02-12

F3 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000015 · edgar.xml · derivative · entry 4

Lauber Charles T · CIK 0001566398 · SVP, Strategy & Corporate Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,035

Underlying: Common Stock · 1,870 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000014 · edgar.xml · derivative · entry 6

KITA JOHN J · CIK 0001236636 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,475

Underlying: Common Stock · 19,990 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000014 · edgar.xml · derivative · entry 5

KITA JOHN J · CIK 0001236636 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,565

Underlying: Common Stock · 4,810 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000013 · edgar.xml · derivative · entry 5

Kempken Daniel L · CIK 0001522653 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,620

Underlying: Common Stock · 3,870 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000013 · edgar.xml · derivative · entry 4

Kempken Daniel L · CIK 0001522653 · Vice President and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,895

Underlying: Common Stock · 930 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000012 · edgar.xml · derivative · entry 5

Heideman Robert J · CIK 0001507959 · Senior VP, CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,789

Underlying: Common Stock · 10,105 shares

Expires 2028-02-12

F3 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000012 · edgar.xml · derivative · entry 4

Heideman Robert J · CIK 0001507959 · Senior VP, CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,820

Underlying: Common Stock · 2,430 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000011 · edgar.xml · derivative · entry 5

Ding Wei · CIK 0001566652 · President - A. O. Smith China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,711

Underlying: Common Stock · 10,660 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000011 · edgar.xml · derivative · entry 4

Ding Wei · CIK 0001566652 · President - A. O. Smith China

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,040

Underlying: Common Stock · 2,565 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000010 · edgar.xml · derivative · entry 5

Dana Paul R · CIK 0001639644 · VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,441

Underlying: Common Stock · 5,885 shares

Expires 2028-02-12

F3 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000010 · edgar.xml · derivative · entry 4

Dana Paul R · CIK 0001639644 · VP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,075

Underlying: Common Stock · 1,415 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000009 · edgar.xml · derivative · entry 5

BROUWER WILFRIDUS M · CIK 0001464950 · President - AOSHBSRL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,905

Underlying: Common Stock · 6,220 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000009 · edgar.xml · derivative · entry 4

BROUWER WILFRIDUS M · CIK 0001464950 · President - AOSHBSRL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,255

Underlying: Common Stock · 1,495 shares

Expires not disclosed

F3 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

SEC source: 0000091142-18-000008 · edgar.xml · derivative · entry 3

Ackerman Patricia K · CIK 0001532645 · VP, Investor Relations & Treas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,280

Underlying: Common Stock · 3,870 shares

Expires 2028-02-12

F4 · derivative.exercise_date: The employee stock options were granted on 02/12/2018 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 02/12/2019.

SEC source: 0000091142-18-000008 · edgar.xml · derivative · entry 2

Ackerman Patricia K · CIK 0001532645 · VP, Investor Relations & Treas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,011

Underlying: Common Stock · 930 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F2 · derivative.expiration_date: The restricted stock units were granted on 02/12/2018 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 02/12/2021.

F3 · balance_after: The Restricted Stock Units that Ms. Ackerman has deferred 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 147 Restricted Stock Units.

SEC source: 0000091142-18-000022 · edgar.xml · nonDerivative · entry 2

Wheeler Kevin J. · CIK 0001566416 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,566

SEC source: 0000091142-18-000022 · edgar.xml · nonDerivative · entry 1

Wheeler Kevin J. · CIK 0001566416 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,731

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 · shares: 5,360 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 5,360 Restricted Stock Units vested on 02/09/2018. As a result of vesting, the Company is obligated to deliver 5,360 shares of Common Stock to the reporting person.

F1 · balance_after: Amended Form 3 filed February 7, 2018.

SEC source: 0000091142-18-000021 · edgar.xml · derivative · entry 3

Warren David R · CIK 0001710905 · Senior VP & President and GM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,395

Underlying: Common Stock · 1,460 shares

Expires not disclosed

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 · derivative.exercise_date: 1,460 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 1,460 Restrited Stock Units vested on 02/09/2018. As a result of vesting, the Company is obligated to deliver 1,460 shares of Common Stock to the reporting person.

F1 · derivative.expiration_date: 1,460 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 1,460 Restrited Stock Units vested on 02/09/2018. As a result of vesting, the Company is obligated to deliver 1,460 shares of Common Stock to the reporting person.

SEC source: 0000091142-18-000021 · edgar.xml · nonDerivative · entry 2

Warren David R · CIK 0001710905 · Senior VP & President and GM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,541

F2 · balance_after: Mr. Warren was a participant in the A. O. Smith Dividend Reinvestment Plan ('Plan") and received a quarterly dividend pursuant to the Plan. The total amount of dividends received was 3 shares of Common Stock.

SEC source: 0000091142-18-000021 · edgar.xml · nonDerivative · entry 1

Warren David R · CIK 0001710905 · Senior VP & President and GM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,193

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: 0000091142-18-000020 · edgar.xml · derivative · entry 3

Vallett William L Jr · CIK 0001566392 · CEO, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,125

Underlying: Common Stock · 3,250 shares

Expires not disclosed

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 · derivative.exercise_date: 3,250 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 3,250 Restricted Stock Units vested on 02/09/2018. As of result of vesting, the Company is obligated to deliver 3,250 shares of Common Stock to the reporting person.

F1 · derivative.expiration_date: 3,250 Restricted Stock Units were granted on 02/09/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 3,250 Restricted Stock Units vested on 02/09/2018. As of result of vesting, the Company is obligated to deliver 3,250 shares of Common Stock to the reporting person.

SEC source: 0000091142-18-000020 · edgar.xml · nonDerivative · entry 2

Vallett William L Jr · CIK 0001566392 · CEO, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,688

F2 · balance_after: Mr. Vallett 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 13 shares of Common Stock.

SEC source: 0000091142-18-000020 · edgar.xml · nonDerivative · entry 1

Vallett William L Jr · CIK 0001566392 · CEO, Lochinvar, LLC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,568

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.