Statement of Changes in Beneficial Ownership (4)
May 12 2020 - 11:04AM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Crews Mikel D |
2. Issuer Name and Ticker or Trading Symbol
AAON, INC.
[
AAON
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Vice President of Operations |
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(Last)
(First)
(Middle)
2425 SOUTH YUKON |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2020 |
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(Street)
TULSA, OK 74107
(City)
(State)
(Zip)
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock, par value $.004 | 5/8/2020 | | F | | 1313 (1) | D | $48.94 | 19114 | D | |
| Common Stock, par value $.004 | 5/8/2020 | | D | | 1600 (2) | D | $48.94 | 17514 | D | |
| Common Stock, par value $.004 | | | | | | | | 43505 | I | 401(k) Plan |
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 |
| Stock Option (Right to Buy) | $7.18 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 1000.0 | | 1000 | D | |
| Stock Option (Right to Buy) | $8.65 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 1350.0 | | 1350 | D | |
| Stock Option (Right to Buy) | $22.15 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 3190.0 | | 3190 | D | |
| Stock Option (Right to Buy) | $34.1 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 27150.0 | | 27150 | D | |
| Stock Option (Right to Buy) | $34.15 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 3345.0 | | 3345 | D | |
| Stock Option (Right to Buy) | $36.95 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 31600.0 | | 31600 | D | |
| Stock Option (Right to Buy) | $41.37 | | | | | | | 5/8/2020 (3) | 5/8/2021 (4) | Common Stock | 60000.0 | | 60000 | D | |
| Common Stock | $44.22 | 5/8/2020 | | D | | | 23740 (5) | 3/11/2021 | 3/11/2030 | Common Stock | 23740.0 | $44.22 | 0 | D | |
| Explanation of Responses: |
| (1) | Tax withholding on vesting of Restricted Stock Awards due to retirement, effective May 8, 2020. |
| (2) | Forfeiture of Restricted Stock Award (granted 3/11/2020) due to retirement, effective May 8, 2020. |
| (3) | Date Exercisable (but not exercised) is accelerated upon retirement, effective May 8, 2020. |
| (4) | Expiration date (1 year from retirement) is accelerated upon retirement, effective May 8, 2020. |
| (5) | Forfeiture of Stock Option Award (granted 3/11/2020) due to retirement, effective May 8, 2020. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Crews Mikel D
2425 SOUTH YUKON
TULSA, OK 74107 |
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| Vice President of Operations |
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Signatures
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| Mikel D. Crews | | 5/12/2020 |
| **Signature of Reporting Person | Date |
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