Sec Form 4 Filing - SMITH BRUCE M @ SMITH A O CORP - 2021-04-13

Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security.

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The following is an SEC EDGAR document rendered as filed.
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
SMITH BRUCE M
2. Issuer Name and Ticker or Trading Symbol
SMITH A O CORP [ AOS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
A. O. SMITH CORPORATION, 11270 WEST PARK PLACE
3. Date of Earliest Transaction (MM/DD/YY)
04/13/2021
(Street)
MILWAUKEE, WI53224
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 04/13/2021 A 1,922 ( 1 ) A $ 67.665 5,226 D
Common Stock 15,892 D ( 2 )
Common Stock 2,400 I In trust ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units $ 0 ( 4 ) ( 4 ) Common 0 118,875 ( 5 ) D
Class A Common Stock $ 0 ( 8 ) 02/05/2021 G 60,291 ( 9 ) ( 6 ) ( 7 ) Common Stock 60,291 $ 0 169,110 I Gift from revocable family trust to spouse of reporting person.
Class A Common Stock $ 0 ( 8 ) 02/05/2021 G 60,291 ( 9 ) ( 6 ) ( 7 ) Common Stock 60,291 $ 0 60,291 I Owned by spouse of reporting person
Class A Common Stock $ 0 ( 8 ) 02/05/2021 G 60,291 ( 8 ) ( 6 ) ( 7 ) Common Stock 60,291 $ 0 0 I Owned by spouse of reporting person
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
SMITH BRUCE M
A. O. SMITH CORPORATION
11270 WEST PARK PLACE
MILWAUKEE, WI53224
X
Signatures
James F. Stern, Attorney-in-Fact for Bruce M. Smith 04/15/2021
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Payment of retainer of stock under the A. O. Smith Corporation directors' compensation program based on the market price of the Common Stock on April 13, 2021.
( 2 )Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan.
( 3 )The reporting person beneficially owns these shares as settlor of a revocable family trust.
( 4 )The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
( 5 )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 1,065 units of Restricted Stock Units.
( 6 )Convertible at any time into Common Stock.
( 7 )None.
( 8 )Gift
( 9 )Gift from revocable family trust to spouse of reporting person.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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