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FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person
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Petrarca Mark A |
2. Issuer Name
and
Ticker or Trading Symbol
SMITH A O CORP [ AOS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Senior Vice Pres. - H.R. & P.A |
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A. O. SMITH CORPORATION, 11270 WEST PARK PLACE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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MILWAUKEE, WI 53224 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 7/20/2012 | M | 22050 | A | $19.003 | 46172 | D |
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| Common Stock | 7/20/2012 | S | 5500 | D | $51.00 | 40672 | D |
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| Common Stock | 7/20/2012 | S | 4612 | D | $51.01 | 36060 | D |
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| Common Stock | 7/20/2012 | S | 2638 | D | $51.02 | 33422 | D |
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| Common Stock | 7/20/2012 | S | 1200 | D | $51.03 | 32222 | D |
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| Common Stock | 7/20/2012 | S | 1400 | D | $51.04 | 30822 | D |
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| Common Stock | 7/20/2012 | S | 1500 | D | $51.05 | 29322 | D |
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| Common Stock | 7/20/2012 | S | 700 | D | $51.06 | 28622 | D |
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| Common Stock | 7/20/2012 | S | 800 | D | $51.07 | 27822 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.08 | 27722 | D |
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| Common Stock | 7/20/2012 | S | 300 | D | $51.09 | 27422 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.0902 | 27322 | D |
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| Common Stock | 7/20/2012 | S | 200 | D | $51.10 | 27122 | D |
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| Common Stock | 7/20/2012 | S | 500 | D | $51.11 | 26622 | D |
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| Common Stock | 7/20/2012 | S | 300 | D | $51.12 | 26322 | D |
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| Common Stock | 7/20/2012 | S | 500 | D | $51.13 | 25822 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.14 | 25722 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.15 | 25622 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.18 | 25522 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.20 | 25422 | D |
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| Common Stock | 7/20/2012 | S | 300 | D | $51.21 | 25122 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.22 | 25022 | D |
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| Common Stock | 7/20/2012 | S | 200 | D | $51.24 | 24822 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.25 | 24722 | D |
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| Common Stock | 7/20/2012 | S | 100 | D | $51.31 | 24622 | D |
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| Common Stock | 7/20/2012 | S | 300 | D | $51.32 | 24322 | D |
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| Common Stock | 7/20/2012 | S | 200 | D | $51.33 | 24122 | D |
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Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Employee Stock Options (Right to Buy) | $19.003 | 7/20/2012 | M | 22050 | (1) | 2/9/2019 | Common Stock | 22050 | $0 | 25300 | D |
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Reporting Owners
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| Reporting Owner Name / Address |
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| Director | 10% Owner | Officer | Other | ||
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Petrarca Mark A
A. O. SMITH CORPORATION 11270 WEST PARK PLACE MILWAUKEE, WI 53224 |
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Senior Vice Pres. - H.R. & P.A |
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Signatures
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| James F. Stern, Attorney-in-Fact for Mark A. Petrarca | 7/23/2012 | |
| ** Signature of Reporting Person |
Date
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | |