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SMITH A O CORP — Director's Dealing 2012
Nov 1, 2012
30593_dirs_2012-11-01_fdf7fd38-c67a-47e1-8253-ce0da2b7b4a5.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: 2012-10-31
Reporting Person: STERN JAMES F (Exec VP, General Counsel & Sec)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-10-31 | Common Stock | M | 16800 | $23.76 | Acquired | 36437 | Direct |
| 2012-10-31 | Common Stock | F | 11117 | $23.76 | Disposed | 25320 | Direct |
| 2012-10-31 | Common Stock | M | 15750 | $19.003 | Acquired | 41070 | Direct |
| 2012-10-31 | Common Stock | F | 9730 | $19.003 | Disposed | 31340 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-10-31 | Employee Stock Options (Right to Buy) | $23.76 | M | 16800 | Disposed | 2018-02-11 | Common Stock (16800) | Direct |
| 2012-10-31 | Employee Stock Options (Right to Buy) | $19.003 | M | 15750 | Disposed | 2019-02-09 | Common Stock (15750) | Direct |
Footnotes
F1: The employee stock options were granted on 02/11/2008 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 02/11/2009.
F2: The employee stock options were granted on 02/9/2009 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 02/09/2010.
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