UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class A Common Stock | Â (4) | Â (5) | Common Stock | 559,985 | $ 0 (6) | I | See footnote (7) |
Phantom Stock | Â (8) | Â (8) | Common Stock | 7,160 | $ 33.12 | D (9) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Smith Family Trusts C/O SMITH INVESTMENT COMPANY 11270 WEST PARK PLACE MILWAUKEE, WI 53224 |
 |  X |  | See Remarks |
/s/ Bruce M. Smith, as representative for Smith Family Trusts | 08/21/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Represents direct ownership of the Issuer's Common Stock by certain individuals or trusts that form part of the Reporting Person. |
(2) | Represents the indirect ownership of the Issuer's Common Stock by one individual who is part of the Reporting Person under the A. O. Smith Corporation Directors' Deferred Compensation Plan (the "Plan"). |
(3) | Represents the Reporting Person's proportionate interest in shares of the Issuer's Common Stock held by SICO, including certain shares held in trust. Beneficial ownership of the shares of the Issuer owned by SICO is disclaimed. |
(4) | Convertible at any time. |
(5) | None. |
(6) | 1 for 1. |
(7) | Represents the Reporting Person's proportionate interest in shares of the Issuer's Class A Common Stock held by SICO, including certain shares held in trust. Beneficial ownership of the shares of the Issuer owned by SICO is disclaimed. |
(8) | The Plan allows for the payment of a retainer in phantom stock and it also permits the participant/recipient to defer receipt of the award. One individual who is part of the Reporting Person made a deferral pursuant to the Plan. |
(9) | Represents direct ownership of the Issuer's phantom stock by one individual who is part of the Reporting Person. |
 Remarks: The Smith Family Trusts (the "Reporting Person") consist of certain shareholders of Smith Investment Company, a Nevada corporation ("SICO"), that holds shares of A. O. Smith Corporation (the "Issuer").  The shareholders of SICO that comprise the Reporting Person are certain individual members of the Smith family and trusts for the benefit of certain members of the Smith family.  On August 19, 2008, the Reporting Person filed a Schedule 13D with the Securities and Exchange Commission via EDGAR related to the Issuer's Common Stock pursuant to Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). The collective beneficial ownership of the Issuer's outstanding Common Stock under Rule 13d-3 under the Exchange Act exceeds 10% of the Issuer's Common Stock.  The Reporting Person disclaims beneficial ownership of the shares of the Issuer's Common Stock held by SICO and also disclaims that the Reporting Person constitutes a "group" pursuant to Section 13(d). |