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SMITH A O CORP — Director's Dealing 2011
Feb 3, 2011
30593_dirs_2011-02-03_6fa4c0b1-ec99-4e51-8e5d-9627af092ebc.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: 2010-12-31
Reporting Person: SMITH BRUCE M (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-12-27 | Common Stock | G | 670 | — | Disposed | 19596 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3973 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Phantom Stock | $0 | Common Stock (0) | 18311 | Direct | |
| Class A Common Stock | $0 | Common Stock (0) | 117162 | Indirect |
Footnotes
F1: On November 15, 2010, the common stock of A. O. Smith Corporation split 3-for-2, resulting in the reporting person's ownership of 1,324 additional shares of common stock.
F2: Shares deferred under the A. O. Smith Corporation Directors' Deferred Compensation Plan.
F3: On November 15, 2010, the common stock of A. O. Smith Corporation split 3-for-2, resulting in the reporting person's beneficial ownership of 6,755 additional shares of common stock.
F4: The reporting person beneficially owns these shares as settlor of a revocable family trust.
F5: The Plan permits the participant/receipient to defer receipt of the award, and Mr. Smith has made a deferral.
F6: On November 15, 2010, the common stock of A. O. Smith Corporation split 3-for 2, resulting in 6,032 additional shares of Phantom Stock. The Phantom Stock receives a quarterly dividend. The total amount of the dividends received in 2010 was 215 shares of Phantom Stock.
F7: 1 for 1
F8: Convertible at any time.
F9: None.
F10: On November 15, 2010, the common stock of A. O. Smith Corporation split 3-for-2, resulting in the reporting person's beneficial ownership of 39,054 additional shares of Class A Common Stock.