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SMITH A O CORP — Director's Dealing 2009
Aug 3, 2009
30593_dirs_2009-08-03_dbd0a8ff-a5e5-4afd-9e2b-c5f0d8613672.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: SMITH A O CORP (AOS)
CIK: 0000091142
Period of Report: 2009-04-22
Reporting Person: SMITH BRUCE M (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-04-22 | Common Stock | A | 78856 | — | Acquired | 78856 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-04-22 | Class A Common Stock | $0 | A | 408084 | Acquired | Common Stock (408084) | Indirect |
Footnotes
F1: 1 for 1
F2: Convertible at any time.
F3: None.
F4: Represents the conversion of shares of SICO common stock into shares of Common Stock and Class A Common Stock of A. O. Smith Corporation (the "Issuer") pursuant to a merger of SICO with a subsidiary of the Issuer (the "Merger"). No consideration was paid or received except for the conversion of each SICO share into shares of the Issuer's Common Stock and Class A Common Stock. The conversion in the Merger was approved in advance by the Issuer's board of directors on behalf of the reporting person. In addition, the elimination of SICO upon consummation of the Merger resulted in a change in the shares to be reported as a consequence of the application of the relevant definitions of beneficial ownership. The amount reported reflects this change in the form of ownership. Also, certain shares of the Issuer's Common Stock issued in the Merger are being held in escrow pursuant to the related merger agreement.
F5: The reporting person beneficially owns these shares as (i) a trustee of trusts of which a member of the reporting person's immediate family is a beneficiary or (ii) settlor of a revocable family trust. Beneficial ownership of the shares held by trusts of which the reporting person is a trustee is disclaimed.