Warren David R 4

4 · SMITH A O CORP · Filed May 12, 2021

Insider Transaction Report

Form 4

Period: 2021-05-11

SMITH A O CORPAOS

Warren David R

Senior VP & President and GM

Transactions

Exercise/Conversion
Common Stock
2021-05-11$31.67/sh+5,710$180,836→ 17,010 total
Sale
Common Stock
2021-05-11$70.79/sh−30,392$2,151,386→ 6,094 total
Exercise/Conversion
Employee Stock Options (Right to Buy)
2021-05-11−11,377→ 57,513 total
Exercise: $49.42Exp: 2029-02-11→ Common Stock (11,377 underlying)
Exercise/Conversion
Employee Stock Options (Right to Buy)
2021-05-11−8,099→ 49,414 total
Exercise: $42.39Exp: 2030-02-10→ Common Stock (8,099 underlying)
Exercise/Conversion
Common Stock
2021-05-11$30.77/sh+3,492$107,431→ 11,300 total
Exercise/Conversion
Employee Stock Options (Right to Buy)
2021-05-11−1,714→ 78,092 total
Exercise: $23.23Exp: 2024-02-10→ Common Stock (1,714 underlying)
Exercise/Conversion
Common Stock
2021-05-11$23.23/sh+1,714$39,825→ 7,808 total
Exercise/Conversion
Common Stock
2021-05-11$49.42/sh+11,377$562,251→ 28,387 total
Exercise/Conversion
Common Stock
2021-05-11$42.39/sh+8,099$343,317→ 36,486 total
Exercise/Conversion
Employee Stock Options (Right to Buy)
2021-05-11−3,492→ 74,600 total
Exercise: $30.77Exp: 2025-02-09→ Common Stock (3,492 underlying)
Exercise/Conversion
Employee Stock Options (Right to Buy)
2021-05-11−5,710→ 68,890 total
Exercise: $31.67Exp: 2026-02-08→ Common Stock (5,710 underlying)

Footnotes (6)

[F1]The price in Column 4 is a weighted average price. The prices actually received ranged from $70.69 to $70.94. 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.
[F2]The employee stock options were granted on 02/10/2014 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 02/10/2015.
[F3]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.
[F4]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.
[F5]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.
[F6]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.

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