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SMITH A O CORP — Director's Dealing 2011
Feb 15, 2011
30593_dirs_2011-02-14_fef6e3b8-0a85-4143-9c46-40a542391c1d.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: 2011-02-11
Reporting Person: JONES PAUL W (Director, Chair, Pres. and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-11 | Common Stock | S | 700 | $42.29 | Disposed | 127096 | Direct |
| 2011-02-11 | Common Stock | S | 194 | $42.295 | Disposed | 126902 | Direct |
| 2011-02-11 | Common Stock | S | 1906 | $42.30 | Disposed | 124996 | Direct |
| 2011-02-11 | Common Stock | S | 100 | $42.305 | Disposed | 124896 | Direct |
| 2011-02-11 | Common Stock | S | 5094 | $42.31 | Disposed | 119802 | Direct |
| 2011-02-11 | Common Stock | S | 118 | $42.31 | Disposed | 119684 | Direct |
| 2011-02-11 | Common Stock | S | 9 | $42.315 | Disposed | 119675 | Direct |
| 2011-02-11 | Common Stock | S | 3000 | $42.32 | Disposed | 116675 | Direct |
| 2011-02-11 | Common Stock | S | 600 | $42.33 | Disposed | 116075 | Direct |
| 2011-02-11 | Common Stock | S | 1200 | $42.34 | Disposed | 114875 | Direct |
| 2011-02-11 | Common Stock | S | 100 | $42.345 | Disposed | 114775 | Direct |
| 2011-02-11 | Common Stock | S | 300 | $42.35 | Disposed | 114475 | Direct |
| 2011-02-11 | Common Stock | S | 200 | $42.36 | Disposed | 114275 | Direct |
| 2011-02-11 | Common Stock | S | 100 | $42.365 | Disposed | 114175 | Direct |
| 2011-02-11 | Common Stock | S | 300 | $42.37 | Disposed | 113875 | Direct |
| 2011-02-11 | Common Stock | S | 1100 | $42.38 | Disposed | 112775 | Direct |
| 2011-02-11 | Common Stock | S | 700 | $42.40 | Disposed | 112075 | Direct |
| 2011-02-11 | Common Stock | S | 599 | $42.42 | Disposed | 111476 | Direct |
| 2011-02-11 | Common Stock | S | 1 | $42.425 | Disposed | 111475 | Direct |
| 2011-02-11 | Common Stock | M | 31800 | $42.2197 | Acquired | 143275 | Direct |
| 2011-02-11 | Common Stock | S | 14000 | $42.2197 | Disposed | 129275 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-11 | Restricted Stock Units | $23.76 | M | 31800 | Disposed | Common Stock (31800) | Direct |
Footnotes
F1: 31,800 Restricted Stock Units were granted on 02/11/2008, under the A. O. Smith Combined Incentive Compensation Plan, a transaction excempt under Rule 16b-3. 31,800 Restricted Stock Units vested on 02/11/2011. As of result of vesting, the Company is obligated to deliver 31,800 shares of Common Stock to the reporting person.
F2: The reporting person sold these shares to obtain funds to pay the withholding taxes due as a result of the vesting of the restricted stock units described in footnote (1).
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