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SMITH A O CORP — Director's Dealing 2009
Feb 5, 2009
30593_dirs_2009-02-05_c0eebc62-5594-4e69-9ce2-e055e6bc1f3c.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: SMITH A O CORP (AOS)
CIK: 0000091142
Period of Report: 2008-12-31
Reporting Person: Smith Family Trusts (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2008-06-30 | Common Stock | G | 2284 | — | Disposed | 105938 | Indirect |
| 2008-12-17 | Common Stock | G | 127 | — | Disposed | 105811 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2008-06-30 | Class A Common Stock | $ | G | 11822 | Disposed | Common Stock (548163) | Indirect | |
| 2008-12-17 | Class A Common Stock | $ | G | 657 | Disposed | Common Stock (547506) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4734 | Direct |
| Common Stock | 2649 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock | $ | Common Stock (7160) | 7160 | Direct |
Footnotes
F1: Represents direct ownership of the Issuer's Common Stock by certain individuals or trusts that form part of the Reporting Person.
F2: Represents the indirect ownership of the Issuer's Common Stock by one individual who is part of the Reporting Person under the A. O. Smith Corporation Directors' Deferred Compensation Plan (the "Plan").
F3: Bona fide gift.
F4: Represents the Reporting Person's proportionate interest in shares of the Issuer's Common Stock held by SICO, including certain shares held in trust. Beneficial ownership of the shares of the Issuer owned by SICO is disclaimed.
F5: None.
F6: Convertible at any time.
F7: Convertible on a 1 for 1 basis.
F8: Represents the Reporting Person's proportionate interest in shares of the Issuer's Class A Common Stock held by SICO, including certain shares held in trust. Beneficial ownership of the shares of the Issuer owned by SICO is disclaimed.
F9: The Plan allows for the payment of a retainer in phantom stock and it also permits the participant/recipient to defer receipt of the award. One individual who is part of the Reporting Person made a deferral pursuant to the Plan.
F10: Represents direct ownership of the Issuer's phantom stock by one individual who is part of the Reporting Person.