Item 3. Legal Proceedings
ITEM 3 – LEGAL PROCEEDINGS
We are involved in various unresolved legal actions, administrative proceedings and claims in the ordinary course of our business involving product liability, property damage, insurance coverage, exposure to asbestos and other substances, patents and environmental matters, including the disposal of hazardous waste. Although it is not possible to predict with certainty the outcome of these unresolved legal actions or the range of possible loss or recovery, we believe, based on past experience, adequate reserves and insurance availability, that these unresolved legal actions will not have a material effect on our financial position or results of operations. A more detailed discussion of certain of these matters appears in Note 16 of Notes to Consolidated Financial Statements.
ITEM 4 – MINE SAFETY DISCLOSURES
Not applicable.
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EXECUTIVE OFFICERS OF THE COMPANY
Pursuant to General Instruction of G(3) of Form 10-K, the following is a list of our executive officers which is included as an unnumbered Item in Part I of this report in lieu of being included in our Proxy Statement for our 2022 Annual Meeting of Stockholders.
Name (Age)
Positions Held Period Position Was Held
Samuel M. Carver (53) Senior Vice President – Global Operations 2021 to Present
Vice President – North America Manufacturing 2011 to 2021
Director - Operations 2007 to 2011
Plant Manager 2006 to 2007
Anindadeb V. DasGupta (56) Senior Vice President 2018 to Present
President – A. O. Smith Holdings (Barbados) SRL 2018 to Present
Vice President, Global Head Strategic Marketing; Global Head e-commerce; Global GM Flex & Signage Business Lines – OSRAM GmbH, Munich and Hong Kong (lighting manufacturer)
2014 to 2018
Wallace E. Goodwin (66) Senior Vice President 2018 to Present
President and General Manager – Lochinvar, LLC 2018 to Present
Senior Vice President and General Manager – Lochinvar, LLC 2011 to 2017
President – APCOM, a division of State Industries, LLC 1999 to 2011
Robert J. Heideman (55) Senior Vice President – Chief Technology Officer 2013 to Present
Senior Vice President – Engineering & Technology 2011 to 2012
Senior Vice President – Corporate Technology 2010 to 2011
Vice President – Corporate Technology 2007 to 2010
Director – Materials 2005 to 2007
Section Manager 2002 to 2005
D. Samuel Karge (47) Senior Vice President 2018 to Present
President – North America Water Treatment 2018 to Present
Vice President, Sales and Marketing – Zurn Industries (water solutions manufacturer) 2016 to 2018
Vice President & Platform Leader – Pentair Residential Filtration (water solutions manufacturer) 2012 to 2016
Daniel L. Kempken (49) Senior Vice President – Strategy and Corporate Development 2019 to Present
Vice President and Controller 2011 to 2019
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Name (Age)
Positions Held Period Position Was Held
Charles T. Lauber (59) Executive Vice President and Chief Financial Officer 2019 to Present
Senior Vice President, Strategy and Corporate Development 2013 to 2019
Senior Vice President – Chief Financial Officer – A. O. Smith Water Products Company 2006 to 2012
Vice President – Global Finance – A. O. Smith Electrical Products Company 2004 to 2006
Vice President and Controller – A. O. Smith Electrical Products Company 2001 to 2004
Director of Audit and Tax 1999 to 2001
Mark A. Petrarca (58) Senior Vice President – Human Resources and Public Affairs 2006 to Present
Vice President – Human Resources and Public Affairs 2005 to 2006
Vice President – Human Resources – A. O. Smith Water Products Company 1999 to 2004
Jack Qiu (49) Senior Vice President - A. O. Smith China 2020 to Present
Vice President - A. O. Smith China 2012 to 2020
General Manager of Residential Gas SBU - A. O. Smith China 2008 to 2012
Deputy General Manager, Engineering - A. O. Smith China 2003 to 2008
Engineering Manager - York (Guangzhou) Air Conditioner and Refrigeration Equipment, Co., Ltd. 2000 to 2003
S. Melissa Scheppele (59) Senior Vice President - Chief Information Officer 2020 to Present
Vice President and Chief Information Officer - Triumph Group (aerospace and defense business) 2016 to 2020
Vice President and Chief Information Officer - Ascend Performance Materials (specialty chemical manufacturer) 2013 to 2016
James F. Stern (59) Executive Vice President, General Counsel and Secretary 2007 to Present
Partner – Foley & Lardner LLP 1997 to 2007
David R. Warren (58) Senior Vice President 2017 to Present
President and General Manager – North America Water Heating 2017 to Present
Vice President – International 2008 to 2017
Managing Director – A. O. Smith Water Products Company B.V. 2004 to 2008
Director, Reliance Sales 2002 to 2004
Regional Sales Manager 1999 to 2002
District Sales Manager 1990 to 1996
Sales Coordinator 1989 to 1990
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Name (Age)
Positions Held Period Position Was Held
Kevin J. Wheeler (62) Chairman 2020 to Present
President and Chief Executive Officer 2018 to Present
President and Chief Operating Officer 2017 to 2018
Senior Vice President 2013 to 2017
President and General Manager – North America, India and Europe Water Heating 2013 to 2017
Senior Vice President and General Manager – North America, India and Europe – A. O. Smith Water Products Company 2011 to 2012
Senior Vice President and General Manager – U.S. Retail – A. O. Smith Water Products Company 2007 to 2011
Vice President – International – A. O. Smith Water Products Company 2004 to 2007
Managing Director – A. O. Smith Water Products Company B.V. 1999 to 2004
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PART II