Amended Statement of Ownership (sc 13g/a)

Date : 02/13/2020 @ 10:05PM
Source : Edgar (US Regulatory)
Stock : AAON Inc (AAON)
Quote : 55.74  -1.34 (-2.35%) @ 9:01PM
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Amended Statement of Ownership (sc 13g/a)



 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
(Amendment No. 01)*
 
AAON INC 

(Name of Issuer)
 
Common Stock

(Title of Class of Securities)
 
000360206

(CUSIP Number)
 
December 31, 2019

(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
     x  Rule 13d-1(b)
 
     o  Rule 13d-1(c)
 
     o  Rule 13d-1(d)
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 


 
 

 
 
CUSIP No.  000360206            
 
           
1   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
  KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC
95-4575414
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  A California Limited Liability Company
       
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH:  5   SOLE VOTING POWER
   
  1,015,361
     
6   SHARED VOTING POWER
   
  4,090,400
     
7   SOLE DISPOSITIVE POWER
   
  1,015,361
     
8   SHARED DISPOSITIVE POWER
   
  4,090,400
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  5,105,761
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  9.80%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IA
 

FOOTNOTES
   
 
 
 

 
 
CUSIP No.  000360206            
 
           
1   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
  Virtus Investment Advisers, Inc.
04-2453743
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Massachusetts
       
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH:  5   SOLE VOTING POWER
   
  0
     
6   SHARED VOTING POWER
   
  4,090,400
     
7   SOLE DISPOSITIVE POWER
   
  0
     
8   SHARED DISPOSITIVE POWER
   
  4,090,400
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  4,090,400
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  7.85%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IA
 

FOOTNOTES
   
  The amounts reported on this page are also included in the amounts reported by Kayne Anderson Rudnick Investment Management, LLC on this Schedule 13G.
 
 

 
 
CUSIP No.  000360206            
 
           
1   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
  Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Delaware
       
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH:  5   SOLE VOTING POWER
   
  0
     
6   SHARED VOTING POWER
   
  4,009,400
     
7   SOLE DISPOSITIVE POWER
   
  0
     
8   SHARED DISPOSITIVE POWER
   
  4,009,400
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  4,009,400
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  7.70%
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IV
 

FOOTNOTES
   
  The amounts reported on this page are also included in the amounts reported by Virtus Investment Advisers, Inc. on this Schedule 13G.
 
 

 
 
Item 1.

 
(a)
Name of Issuer
 
 
AAON INC

 
(b)
Address of Issuer’s Principal Executive Offices
 
 
2425 South Yukon, Tulsa Oklahoma 74107

Item 2.

 
(a)
Name of Person Filing
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC
 
 
(2)
Virtus Investment Advisers, Inc.
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund

 
(b)
Address of Principal Business Office or, if none, Residence
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC
1800 Avenue of the Stars, 2nd Floor, Los Angeles, CA 90067
 
 
(2)
Virtus Investment Advisers, Inc.
One Financial Plaza, Hartford, CT 06103
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund
101 Munson Street, Greenfield, MA 01301

 
(c)
Citizenship
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: A California Limited Liability Company
 
 
(2)
Virtus Investment Advisers, Inc.: Massachusetts
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: Delaware

 
(d)
Title of Class of Securities
 
 
Common Stock

 
(e)
CUSIP Number
 
 
000360206

 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 
(a)
o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 
(b)
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 
(d)
x
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 
(e)
x
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 
(g)
o
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 
(h)
o
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 
(j)
o
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).

 
(k)
o
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 
 
 

 
 
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 
(a)
Amount beneficially owned:
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: 5,105,761
 
 
(2)
Virtus Investment Advisers, Inc.: 4,090,400
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: 4,009,400

 
(b)
Percent of class:
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: 9.80%
 
 
(2)
Virtus Investment Advisers, Inc.: 7.85%
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: 7.70%

 
(c)
Number of shares as to which the person has:

 
(i)
Sole power to vote or to direct the vote:
 
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: 1,015,361
 
 
 
(2)
Virtus Investment Advisers, Inc.: 0
 
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: 0

 
(ii)
Shared power to vote or to direct the vote:
 
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: 4,090,400
 
 
 
(2)
Virtus Investment Advisers, Inc.: 4,090,400
 
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: 4,009,400

 
(iii)
Sole power to dispose or to direct the disposition of:
 
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: 1,015,361
 
 
 
(2)
Virtus Investment Advisers, Inc.: 0
 
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: 0

 
(iv)
Shared power to dispose or to direct the disposition of:
 
 
 
(1)
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC: 4,090,400
 
 
 
(2)
Virtus Investment Advisers, Inc.: 4,090,400
 
 
 
(3)
Virtus Equity Trust, on behalf of Virtus KAR Small Cap Growth Fund: 4,009,400

Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o .
 
NA
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
With respect to securities owned by a registered investment company included in this filing, only the custodian for such investment company, has the right to receive dividends paid with respect to, and proceeds from the sale of, such securities. No other person is known to have such right, except that the shareholders of such investment company participate proportionately in any dividends and distributions so paid
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
 
NA
 
Item 8.
Identification and Classification of Members of the Group
 
NA
 
Item 9.
Notice of Dissolution of Group
 
NA
 
 
 

 
 
 
Item 10.
Certification
   
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.
 
 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
  Kayne Anderson Rudnick
 
       
Date: February 13, 2020
By:
/s/  Michael Shoemaker  
    Name: Michael Shoemaker  
    Title:  Chief Compliance Officer  
       
 
 
 
  Virtus Investment Advisers, Inc.
 
       
Date: February 13, 2020
By:
/s/  Kevin Carr  
    Name: Kevin Carr  
    Title:  Vice President and Clerk  
       
 
 
 
  Virtus Equity Trust on behalf of Virtus KAR Small Cap Growth Fund
 
       
Date: February 13, 2020
By:
/s/  Kevin Carr  
    Name: Kevin Carr  
    Title:  Senior Vice President, Chief Legal Officer, Counsel and Secretary  
       
 
Footnotes:

Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
 
 


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