SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Kulkarni Parag

(Last) (First) (Middle)
A. O. SMITH INDIA WATER PRODUCTS PRIVATE
#300, PHASE II, KIADB INDUSTRIAL AREA

(Street)
KARNATAKA K7 562112

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/01/2022
3. Issuer Name and Ticker or Trading Symbol
SMITH A O CORP [ AOS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP - Int'l; President India
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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 1,770 (2) D
Employee Stock Options (Right to Buy) (3) 04/25/2025 Common Stock 1,720 33.235 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: 780 Restricted stock units were granted on 02/10/2020 and they become payable in cash on the vesting date of 02/10/2023. 545 Restricted stock units were granted on 02/08/2021 and they become payable in cash on the vesting date of 02/08/2024. 445 Restricted stock units were granted on 02/07/2022 and they become payable in cash on the vesting date of 02/07/2025.
2. Each restricted stock unit is the economic equivalent of one share of A. O. Smith Corporation Common Stock.
3. Employee stock options were granted on 04/27/2015, under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under rule 16b-3. The option became exercisable in three annual installments of 1/3 of the award starting on 04/27/2016. The stock options are payable in cash when exercised.
Remarks:
James F. Stern, Attorney-in-Factor for Parag Kulkarni 09/01/2022
** Signature of Reporting Person Date
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 5 (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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