Initial Statement of Beneficial Ownership (3)
October 19 2020 - 1:09PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Qiu Jack |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/12/2020
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3. Issuer Name and Ticker or Trading Symbol
SMITH A O CORP [AOS]
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(Last)
(First)
(Middle)
A. O. SMITH (CHINA) WATER HEATER CO., 336 YAOXIN AVENUE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP - Pres. A. O. Smith China / |
(Street)
NANJING, F4 210038
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | (1) | Common Stock | 4500 | (2) | D | |
Explanation of Responses: |
(1) | Restricted stock units were granted under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3: 730 Restricted stock units were granted on 02/12/2018. The restricted stock units become payable in cash on the vesting date. The vesting date is 02/12/2021, which is three years after the grant date. 910 Restricted stock units were granted on 02/11/2019. The restricted stock units become payable in cash on the vesting date. The vesting date is 02/11/2022, which is three years after the grant date. 1,060 Restricted stock units were granted on 02/10/2020. The restricted stock units become payable in cash on the vesting date. The vesting date is 02/10/2023, which is three years after the grant date. 1,800 Restricted stock units were granted on 10/08/2020. The restricted stock units become payaable in cash on the vesting date. The vesting date is 10/08/2023, which is three years after the grant date. |
(2) | Each restricted stock unit is the economic equivalent of one share of A. O. Smith Corporation Common Stock. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Qiu Jack A. O. SMITH (CHINA) WATER HEATER CO. 336 YAOXIN AVENUE NANJING, F4 210038 |
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| SVP - Pres. A. O. Smith China |
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Signatures
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James F. Stern, Attorney-in-Fact for Jack Qiu | | 10/19/2020 |
**Signature of Reporting Person | Date |
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