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SMITH A O CORP — Director's Dealing 2014
Apr 8, 2014
30593_dirs_2014-04-08_5578ec2e-6df7-41b9-9db8-44039ccd96df.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: 2014-04-07
Reporting Person: SMITH BRUCE M (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-04-07 | Restricted Stock Units | $45.235 | A | 2432 | Acquired | Common Stock (2432) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7946 | Direct |
| Common Stock | 24700 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class A Common Stock | $0 | Common Stock (0) | 217782 | Indirect |
Footnotes
F1: Shares deferred under the A. O. Smith Nonqualified Deferred Compensation Plan. On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 3,973 additional shares of Common Stock.
F2: The reporting person beneficially owns these shares as settlor of a revocable family trust. On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 12,350 additional shares of Common Stock.
F3: Payment of portion of retainer in Restricted Stock Units under the A. O. Smith Nonqualified Deferred Compensation Plan based on the market price of the Common Stock on April 7, 2014.
F4: The Plan permits the participant to defer receipt of the award, and Mr. Smith has made a deferral.
F5: On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 24,610 additional Restricted Stock Units. The Restricted Stock Units receive a quarterly dividend pursuant to a dividend reinvestment feature of the A. O. Smith Nonqualified Deferred Compensation Plan. The total amount of dividends received was 556 units of Restricted Stock Units.
F6: 1 for 1
F7: Convertible at any time
F8: None
F9: On May 15, 2013, the common stock of A. O. Smith Corporation split 2-for1, resulting in the reporting person's ownership of 108,891 additional Shares of Class A Common Stock