401k Plan data: A O SMITH CORPORATION SAVINGS PLAN plan

A O SMITH CORPORATION SAVINGS PLAN 401k Plan overview

Plan Name	A O SMITH CORPORATION SAVINGS PLAN
Plan identification number	040

A O SMITH CORPORATION SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

401k Sponsoring company profile

A O SMITH CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: A O SMITH CORPORATION

Employer identification number (EIN): 390619790

NAIC Classification: 332400

Additional information about A O SMITH CORPORATION

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 2095703

More information about A O SMITH CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan A O SMITH CORPORATION SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
040 2012-01-01 TRACEY SEYMOUR TRACEY SEYMOUR 2013-07-26
040 2011-01-01 SHERRY LUNDELL SHERRY LUNDELL 2012-07-09
040 2009-01-01 DUANE CARLSON

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
040	2012-01-01	TRACEY SEYMOUR	TRACEY SEYMOUR	2013-07-26
040	2011-01-01	SHERRY LUNDELL	SHERRY LUNDELL	2012-07-09
040	2009-01-01	DUANE CARLSON

Plan Statistics for A O SMITH CORPORATION SAVINGS PLAN

401k plan membership statisitcs for A O SMITH CORPORATION SAVINGS PLAN

Measure Date Value
2012: A O SMITH CORPORATION SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,806
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Total participants 2012-01-01 0
2011: A O SMITH CORPORATION SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,841
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,568
Number of retired or separated participants receiving benefits 2011-01-01 4
Number of other retired or separated participants entitled to future benefits 2011-01-01 234
Total of all active and inactive participants 2011-01-01 1,806
Total participants 2011-01-01 1,806
Number of participants with account balances 2011-01-01 248
2009: A O SMITH CORPORATION SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 2,217
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1,569
Number of retired or separated participants receiving benefits 2009-01-01 2
Number of other retired or separated participants entitled to future benefits 2009-01-01 313
Total of all active and inactive participants 2009-01-01 1,884
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1
Total participants 2009-01-01 1,885
Number of participants with account balances 2009-01-01 1,652
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 30

Measure	Date	Value
2012: A O SMITH CORPORATION SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,806
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Total participants	2012-01-01	0
2011: A O SMITH CORPORATION SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,841
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,568
Number of retired or separated participants receiving benefits	2011-01-01	4
Number of other retired or separated participants entitled to future benefits	2011-01-01	234
Total of all active and inactive participants	2011-01-01	1,806
Total participants	2011-01-01	1,806
Number of participants with account balances	2011-01-01	248
2009: A O SMITH CORPORATION SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	2,217
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1,569
Number of retired or separated participants receiving benefits	2009-01-01	2
Number of other retired or separated participants entitled to future benefits	2009-01-01	313
Total of all active and inactive participants	2009-01-01	1,884
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1
Total participants	2009-01-01	1,885
Number of participants with account balances	2009-01-01	1,652
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	30

Financial Data on A O SMITH CORPORATION SAVINGS PLAN

Measure	Date	Value
2012 : A O SMITH CORPORATION SAVINGS PLAN 2012 401k financial data
Total transfer of assets from this plan	2012-12-31	$7,520,482
Total income from all sources (including contributions)	2012-12-31	$314,320
Total of all expenses incurred	2012-12-31	$1,051,406
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,051,406
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$3,414
Value of total assets at beginning of year	2012-12-31	$8,257,568
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,353
Participant contributions at beginning of year	2012-12-31	$10,111
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$1,076
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-737,086
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$8,257,568
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$8,246,381
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$1,061
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,051,406
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	REILLY, PENNER & BENTON LLP
Accountancy firm EIN	2012-12-31	390747409
2011 : A O SMITH CORPORATION SAVINGS PLAN 2011 401k financial data
Total transfer of assets from this plan	2011-12-31	$592,255
Total income from all sources (including contributions)	2011-12-31	$262,713
Total of all expenses incurred	2011-12-31	$1,931,260
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,931,260
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$182,289
Value of total assets at end of year	2011-12-31	$8,257,568
Value of total assets at beginning of year	2011-12-31	$10,518,370
Total interest from all sources	2011-12-31	$577
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$150,053
Participant contributions at end of year	2011-12-31	$10,111
Participant contributions at beginning of year	2011-12-31	$41,865
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$1,076
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$1,283
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-1,668,547
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$8,257,568
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$10,518,370
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Interest on participant loans	2011-12-31	$577
Value of interest in master investment trust accounts at end of year	2011-12-31	$8,246,381
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$10,475,222
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$32,236
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,931,260
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	REILLY, PENNER & BENTON LLP
Accountancy firm EIN	2011-12-31	390747409
2010 : A O SMITH CORPORATION SAVINGS PLAN 2010 401k financial data
Total transfer of assets from this plan	2010-12-31	$16,194,524
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$69,021
Total income from all sources (including contributions)	2010-12-31	$-167,802
Total of all expenses incurred	2010-12-31	$1,272,888
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,272,888
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$709,264
Value of total assets at end of year	2010-12-31	$10,518,370
Value of total assets at beginning of year	2010-12-31	$28,222,605
Total interest from all sources	2010-12-31	$9,184
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$497,599
Participant contributions at end of year	2010-12-31	$41,865
Participant contributions at beginning of year	2010-12-31	$1,484,904
Participant contributions at beginning of year	2010-12-31	$42,514
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$1,283
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$885
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$69,021
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$-1,440,690
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$10,518,370
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$28,153,584
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Interest on participant loans	2010-12-31	$9,184
Value of interest in master investment trust accounts at end of year	2010-12-31	$10,475,222
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$26,678,147
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$211,665
Employer contributions (assets) at beginning of year	2010-12-31	$16,155
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,272,888
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	REILLY, PENNER & BENTON LLP
Accountancy firm EIN	2010-12-31	390747409

Form 5500 Responses for A O SMITH CORPORATION SAVINGS PLAN

2012: A O SMITH CORPORATION SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: A O SMITH CORPORATION SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: A O SMITH CORPORATION SAVINGS PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	A O SMITH CORPORATION
Employer identification number (EIN):	390619790
NAIC Classification:	332400

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	2095703