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SMITH A O CORP — Director's Dealing 2006
Nov 16, 2006
30593_dirs_2006-11-16_d39a5f8e-88df-4322-8016-f11aebd92e80.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SMITH A O CORP (AOS)
CIK: 0000091142
Period of Report: 2006-11-15
Reporting Person: ROMOSER W DAVID (Senior VP, Gen. Counsel & Sec)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2006-11-15 | Common Stock | M | 2625 | $29.0313 | Acquired | 67662 | Direct |
| 2006-11-15 | Common Stock | M | 8725 | $13.563 | Acquired | 76387 | Direct |
| 2006-11-15 | Common Stock | M | 8050 | $15.135 | Acquired | 84437 | Direct |
| 2006-11-15 | Common Stock | M | 4675 | $26.88 | Acquired | 89112 | Direct |
| 2006-11-15 | Common Stock | M | 4475 | $28.70 | Acquired | 93587 | Direct |
| 2006-11-15 | Common Stock | S | 37050 | $38.00 | Disposed | 56537 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2006-11-15 | Employee Stock Options (Right to Buy) | $29.0313 | M | 2625 | Disposed | 2009-10-13 | Common Stock (2625) | Direct |
| 2006-11-15 | Employee Stock Options (Right to Buy) | $13.563 | M | 8725 | Disposed | 2010-10-10 | Common Stock (8725) | Direct |
| 2006-11-15 | Employee Stock Options (Right to Buy) | $15.135 | M | 8050 | Disposed | 2011-10-09 | Common Stock (8050) | Direct |
| 2006-11-15 | Employee Stock Options (Right to Buy) | $26.88 | M | 4675 | Disposed | 2012-10-11 | Common Stock (4675) | Direct |
| 2006-11-15 | Employee Stock Options (Right to Buy) | $28.70 | M | 4475 | Disposed | 2013-10-07 | Common Stock (4475) | Direct |
Footnotes
F1: The exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 10, 2006.
F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 10, 2006.
F3: Granted on October 13, 1999, under the A. O. Smith Corporation Long-Term Executive Incentive Compensation Plan, a Rule 16b-3 Plan.
F4: Granted on October 10, 2000, under the A. O. Smith Corporation Long-Term Executive Incentive Compensation Plan, a Rule 16b-3 Plan.
F5: Granted on October 9, 2001, under the A. O. Smith Corporation Long-Term Executive Incentive Compensation Plan, a Rule 16b-3 Plan.
F6: Granted on October 11, 2002, under the A. O. Smith Combined Executive Incentive Compensation Plan, a Rule 16b-3 Plan.
F7: Granted on October 7, 2003, under the A. O. Smith Combined Executive Incentive Compensation Plan, a Rule 16b-3 Plan.