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SMITH A O CORP — Director's Dealing 2012
Nov 13, 2012
30593_dirs_2012-11-13_e16427c9-4fa8-478a-87ac-2abc0cc4e515.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: 2012-11-09
Reporting Person: Rajendra Ajita G (President & COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-09 | Common Stock | M | 40350 | $18.387 | Acquired | 86514 | Direct |
| 2012-11-09 | Common Stock | F | 22677 | $18.387 | Disposed | 63837 | Direct |
| 2012-11-09 | Common Stock | M | 15000 | $19.467 | Disposed | 78837 | Direct |
| 2012-11-09 | Common Stock | F | 8604 | $19.467 | Disposed | 70233 | Direct |
| 2012-11-09 | Common Stock | M | 16800 | $25.837 | Disposed | 87033 | Direct |
| 2012-11-09 | Common Stock | F | 10787 | $25.837 | Disposed | 76246 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-09 | Employee Stock Options (Right to Buy) | $18.387 | M | 40350 | Disposed | 2015-02-01 | Common Stock (40350) | Direct |
| 2012-11-09 | Employee Stock Options (Right to Buy) | $19.467 | M | 15000 | Disposed | 2015-10-11 | Common Stock (15000) | Direct |
| 2012-11-09 | Employee Stock Options (Right to Buy) | $25.837 | M | 16800 | Disposed | 2017-02-09 | Common Stock (16800) | Direct |
Footnotes
F1: The employee stock options were granted on 02/01/2005 under the A. O. Smith Combined Executive Incentive Compensation Plan, a transaction exempt under Rule 16b-3.
F2: The employee stock options were granted on 10/11/2005 under the A. O. Smith Combined Executive Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 10/10/2006.
F3: The employee stock options were granted on 02/09/2007 under the A. O. Smith Combined Incentive Compensation Plan, a transaction exempt under Rule 16b-3. The options became exerciable in three annual installments of 1/3 of the award starting on 02/08/2008.