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SMITH A O CORP — Director's Dealing 2011
Feb 3, 2011
30593_dirs_2011-02-03_c778004c-f9b7-4066-8bde-043ede0083f7.zip
Director's Dealing
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SEC Form 5/A — Form 5/A
Issuer: SMITH A O CORP (AOS)
CIK: 0000091142
Period of Report: 2009-12-31
Reporting Person: SMITH MARK D (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-05-28 | Common Stock | A | 40 | — | Acquired | 118 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-05-28 | Class A Common Stock | $0 | A | 613 | Acquired | Common Stock () | Indirect |
Footnotes
F1: Represents the conversion of shares of Smith Investment Company ("SICO") common stock held by his spouse 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. Also, certain shares of the Issuer's Common Stock issued in the Merger are being held in escrow pursuant to the related merger agreement.
F2: 1 for 1
F3: Convertible at any time
F4: None