Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SMITH A O CORPAOS · Entity 3642 | Vice President and Controller | May 04, 2021 | May 12, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SMITH A O CORP
Report date May 04, 2021 · Filed May 12, 2021 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,903 |
Reported balance
After 2021-05-04 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2021-05-04 · Exercise / conversion · Acquired 1,400 · Balance 2,903 F1: Ms. Gurholt 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 5 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | Direct | 1,503 |
Reported balance
After 2021-05-04 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2021-05-04 · Sale · Disposed 1,400 · Balance 1,503 F2: The price in Column 4 is a weighted average price. The prices actually received range from $71.27 to $71.35. The reporting person has provided 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Ms. Gurholt 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 5 shares of Common Stock.
F2: The price in Column 4 is a weighted average price. The prices actually received range from $71.27 to $71.35. The reporting person has provided 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 04, 2021 Filed May 5, 2021 15:25 UTC | SMITH A O CORP AOS · Entity 3642 | Exercise / conversionEmployee Stock Options (Right to Buy) · Derivative | 1,400 | $0.00 Strike: $20.08 | $0.00 |
DisclosureSEC source: 0001567619-21-009056 · doc1.xml · derivative · entry 3 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,460 Underlying: Common Stock · 1,400 shares Expires 2023-07-22 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 07/22/2013 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 07/22/2014. Read SEC document |
| May 04, 2021 Filed May 5, 2021 15:25 UTC | SMITH A O CORP AOS · Entity 3642 | SaleCommon Stock | 1,400 | $71.31 | $99,832.04 |
DisclosureSEC source: 0001567619-21-009056 · doc1.xml · nonDerivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,498 F1 · price: The price in Column 4 is a weighted average price. The prices actually received ranged from $71.27 to $71.35. 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. Read SEC document |
| May 04, 2021 Filed May 5, 2021 15:25 UTC | SMITH A O CORP AOS · Entity 3642 | Exercise / conversionCommon Stock | 1,400 | $20.08 | $28,112.00 |
DisclosureSEC source: 0001567619-21-009056 · doc1.xml · nonDerivative · entry 1 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,898 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. Read SEC document |
| May 04, 2021 Filed May 12, 2021 20:39 UTC Amendment | SMITH A O CORP AOS · Entity 3642 | SaleCommon Stock | 1,400 | $71.31 | $99,832.04 |
DisclosureSEC source: 0000091142-21-000089 · edgar.xml · nonDerivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,503 F2 · price: The price in Column 4 is a weighted average price. The prices actually received range from $71.27 to $71.35. The reporting person has provided 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. Read SEC document |
| May 04, 2021 Filed May 12, 2021 20:39 UTC Amendment | SMITH A O CORP AOS · Entity 3642 | Exercise / conversionCommon Stock | 1,400 | $20.08 | $28,112.00 |
DisclosureSEC source: 0000091142-21-000089 · edgar.xml · nonDerivative · entry 1 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,903 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: Ms. Gurholt 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 5 shares of Common Stock. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 19:47 UTC | SMITH A O CORP AOS · Entity 3642 | Exercise / conversionRestricted Stock Units · Derivative | 265 | $0.00 Strike: $60.65 | $0.00 |
DisclosureSEC source: 0000091142-21-000029 · edgar.xml · derivative · entry 3 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,410 Underlying: Common Stock · 265 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: 265 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. 265 Restricted Stock Units vested on 02/12/2021. As a result of vesting, the Company is obligated to deliver 265 shares of Common Stock to the reporting person. F1 · derivative.expiration_date: 265 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. 265 Restricted Stock Units vested on 02/12/2021. As a result of vesting, the Company is obligated to deliver 265 shares of Common Stock to the reporting person. Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 19:47 UTC | SMITH A O CORP AOS · Entity 3642 | Tax withholdingCommon Stock | 99 | $60.65 | $6,004.35 |
DisclosureSEC source: 0000091142-21-000029 · edgar.xml · nonDerivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,498 Read SEC document |
| February 12, 2021 Filed Feb 17, 2021 19:47 UTC | SMITH A O CORP AOS · Entity 3642 | GrantCommon Stock | 265 | $60.65 | $16,072.25 |
DisclosureSEC source: 0000091142-21-000029 · edgar.xml · nonDerivative · entry 1 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,597 F1 · shares: 265 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. 265 Restricted Stock Units vested on 02/12/2021. As a result of vesting, the Company is obligated to deliver 265 shares of Common Stock to the reporting person. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 21:27 UTC | SMITH A O CORP AOS · Entity 3642 | GrantRestricted Stock Units · Derivative | 805 | $0.00 Strike: $60.82 | $0.00 |
DisclosureSEC source: 0000091142-21-000009 · edgar.xml · derivative · entry 3 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,675 Underlying: Common Stock · 805 shares Expires not disclosed F3 · derivative.exercise_date: The restricted stock units were granted on 02/08/2021 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 02/08/2024. F3 · derivative.expiration_date: The restricted stock units were granted on 02/08/2021 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 02/08/2024. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 21:27 UTC | SMITH A O CORP AOS · Entity 3642 | GrantEmployee Stock Options (Right to Buy) · Derivative | 3,495 | $0.00 Strike: $60.82 | $0.00 |
DisclosureSEC source: 0000091142-21-000009 · edgar.xml · derivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,860 Underlying: Common Stock · 3,495 shares Expires 2031-02-08 F2 · derivative.exercise_date: The employee stock options were granted on 02/08/2021 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 02/08/2022. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 14:41 UTC | SMITH A O CORP AOS · Entity 3642 | Exercise / conversionRestricted Stock Units · Derivative | 330 | $0.00 Strike: $43.96 | $0.00 |
DisclosureSEC source: 0000091142-20-000022 · edgar.xml · derivative · entry 3 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,870 Underlying: Common Stock · 330 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: 330 Restricted Stock Units were granted on 02/13/2017 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 330 Restricted Stock Units vested on 02/13/2020. As a result of vesting, the Company is obligated to deliver 330 shares of Common Stock to the reporting person. F1 · derivative.expiration_date: 330 Restricted Stock Units were granted on 02/13/2017 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 330 Restricted Stock Units vested on 02/13/2020. As a result of vesting, the Company is obligated to deliver 330 shares of Common Stock to the reporting person. Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 14:41 UTC | SMITH A O CORP AOS · Entity 3642 | Tax withholdingCommon Stock | 124 | $43.96 | $5,451.04 |
DisclosureSEC source: 0000091142-20-000022 · edgar.xml · nonDerivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,306 Read SEC document |
| February 13, 2020 Filed Feb 18, 2020 14:41 UTC | SMITH A O CORP AOS · Entity 3642 | GrantCommon Stock | 330 | $43.96 | $14,506.80 |
DisclosureSEC source: 0000091142-20-000022 · edgar.xml · nonDerivative · entry 1 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,430 F1 · shares: 330 Restricted Stock Units were granted on 02/13/2017 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. 330 Restricted Stock Units vested on 02/13/2020. As a result of vesting, the Company is obligated to deliver 330 shares of Common Stock to the reporting person. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 20:04 UTC | SMITH A O CORP AOS · Entity 3642 | GrantRestricted Stock Units · Derivative | 1,155 | $0.00 Strike: $42.39 | $0.00 |
DisclosureSEC source: 0000091142-20-000007 · edgar.xml · derivative · entry 3 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,200 Underlying: Common Stock · 1,155 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. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 20:04 UTC | SMITH A O CORP AOS · Entity 3642 | GrantEmployee Stock Options (Right to Buy) · Derivative | 6,015 | $0.00 Strike: $42.39 | $0.00 |
DisclosureSEC source: 0000091142-20-000007 · edgar.xml · derivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,365 Underlying: Common Stock · 6,015 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. Read SEC document |
| August 23, 2019 Filed Aug 27, 2019 16:37 UTC | SMITH A O CORP AOS · Entity 3642 | SaleCommon Stock | 1,263.459 | $45.82 | $57,889.04 |
DisclosureSEC 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. Read SEC document |
| May 01, 2019 Filed May 2, 2019 18:04 UTC | SMITH A O CORP AOS · Entity 3642 | GrantRestricted Stock Units · Derivative | 115 | $0.00 Strike: $52.68 | $0.00 |
DisclosureSEC source: 0000091142-19-000032 · edgar.xml · derivative · entry 2 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,045 Underlying: Common Stock · 115 shares Expires not disclosed F2 · derivative.exercise_date: The restricted stock units were granted on 05/01/2019 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 05/01/2022. F2 · derivative.expiration_date: The restricted stock units were granted on 05/01/2019 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 05/01/2022. Read SEC document |
| May 01, 2019 Filed May 2, 2019 18:04 UTC | SMITH A O CORP AOS · Entity 3642 | GrantEmployee Stock Options (Right to Buy) · Derivative | 540 | $0.00 Strike: $52.68 | $0.00 |
DisclosureSEC source: 0000091142-19-000032 · edgar.xml · derivative · entry 1 Gurholt Helen E · CIK 0001775339 · Vice President and Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,350 Underlying: Common Stock · 540 shares Expires 2029-05-01 F1 · derivative.exercise_date: The employee stock options were granted on 05/01/2019 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 05/01/2020. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.