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SMITH A O CORP — Director's Dealing 2007
Jan 29, 2007
30593_dirs_2007-01-29_237bbd61-c8aa-49e4-9cd4-d37d7a5c089e.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: 2007-01-25
Reporting Person: ROMOSER W DAVID (Senior VP, Gen. Counsel & Sec)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-01-25 | Common Stock | M | 2625 | $29.0313 | Acquired | 59162 | Direct |
| 2007-01-25 | Common Stock | M | 8725 | $13.563 | Acquired | 67887 | Direct |
| 2007-01-25 | Common Stock | M | 8050 | $15.135 | Acquired | 75937 | Direct |
| 2007-01-25 | Common Stock | M | 4675 | $26.88 | Acquired | 80612 | Direct |
| 2007-01-25 | Common Stock | M | 4475 | $28.70 | Acquired | 85087 | Direct |
| 2007-01-25 | Common Stock | S | 200 | $38.05 | Disposed | 84887 | Direct |
| 2007-01-25 | Common Stock | S | 100 | $38.06 | Disposed | 84787 | Direct |
| 2007-01-25 | Common Stock | S | 600 | $38.07 | Disposed | 84187 | Direct |
| 2007-01-25 | Common Stock | S | 2400 | $38.08 | Disposed | 81787 | Direct |
| 2007-01-25 | Common Stock | S | 300 | $38.09 | Disposed | 81487 | Direct |
| 2007-01-25 | Common Stock | S | 2500 | $38.10 | Disposed | 78987 | Direct |
| 2007-01-25 | Common Stock | S | 3100 | $38.12 | Disposed | 75887 | Direct |
| 2007-01-25 | Common Stock | S | 100 | $38.13 | Disposed | 75787 | Direct |
| 2007-01-25 | Common Stock | S | 800 | $38.14 | Disposed | 74987 | Direct |
| 2007-01-25 | Common Stock | S | 5000 | $38.15 | Disposed | 69987 | Direct |
| 2007-01-25 | Common Stock | S | 1800 | $38.16 | Disposed | 68187 | Direct |
| 2007-01-25 | Common Stock | S | 400 | $38.17 | Disposed | 67787 | Direct |
| 2007-01-25 | Common Stock | S | 800 | $38.18 | Disposed | 66987 | Direct |
| 2007-01-25 | Common Stock | S | 300 | $38.19 | Disposed | 66687 | Direct |
| 2007-01-25 | Common Stock | S | 3400 | $38.20 | Disposed | 63287 | Direct |
| 2007-01-25 | Common Stock | S | 800 | $38.21 | Disposed | 62487 | Direct |
| 2007-01-25 | Common Stock | S | 500 | $38.23 | Disposed | 61987 | Direct |
| 2007-01-25 | Common Stock | S | 400 | $38.231 | Disposed | 61587 | Direct |
| 2007-01-25 | Common Stock | S | 100 | $38.24 | Disposed | 61487 | Direct |
| 2007-01-25 | Common Stock | S | 1730 | $38.25 | Disposed | 59757 | Direct |
| 2007-01-25 | Common Stock | S | 870 | $38.26 | Disposed | 58887 | Direct |
| 2007-01-25 | Common Stock | S | 700 | $38.27 | Disposed | 58187 | Direct |
| 2007-01-25 | Common Stock | S | 1100 | $38.28 | Disposed | 57087 | Direct |
| 2007-01-25 | Common Stock | S | 100 | $38.30 | Disposed | 56987 | Direct |
| 2007-01-25 | Common Stock | S | 300 | $38.31 | Disposed | 56687 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-01-25 | Employee Stock Options (Right to Buy) | $29.0313 | M | 2625 | Disposed | 2009-10-13 | Common Stock (2625) | Direct |
| 2007-01-25 | Employee Stock Options (Right to Buy) | $13.563 | M | 8725 | Disposed | 2010-10-10 | Common Stock (8725) | Direct |
| 2007-01-25 | Employee Stock Options (Right to Buy) | $15.135 | M | 8050 | Disposed | 2011-10-09 | Common Stock (8050) | Direct |
| 2007-01-25 | Employee Stock Options (Right to Buy) | $26.88 | M | 4675 | Disposed | 2012-10-11 | Common Stock (4675) | Direct |
| 2007-01-25 | 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.