Statement of Changes in Beneficial Ownership (4)
March 09 2021 - 4:37PM
Edgar (US Regulatory)
FORM 4
[ ]
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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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
*
Asbjornson Scott M |
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, Finance & CFO |
(Last)
(First)
(Middle)
708 W. 79TH STREET S. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/8/2021 |
(Street)
TULSA, OK 74132
(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 | 3/8/2021 | | G | | 5300 | D | $0 | 848348 | D | |
Common Stock, par value $.004 | 3/8/2021 | | S | | 1856 | D | $74.09 (1) | 846492 | D | |
Common Stock, par value $.004 | 3/8/2021 | | M | | 1336 | A | $22.15 | 847828 | D | |
Common Stock, par value $.004 | 3/8/2021 | | M | | 6510 | A | $34.10 | 854338 | D | |
Common Stock, par value $.004 | 3/8/2021 | | M | | 7980 | A | $36.95 | 862318 | D | |
Common Stock, par value $.004 | 3/8/2021 | | S | | 15826 | D | $73.84 (2) | 846492 | D | |
Common Stock, par value $.004 | | | | | | | | 540000 | I | Custodian for the benefit of his children |
Common Stock, par value $.004 | | | | | | | | 2652 | 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) | $22.15 | 3/8/2021 | | M | | | 1336 | 1/4/2017 | 1/4/2026 | Common Stock | 1336.0 | $73.84 (2) | 0 | D | |
Stock Option (Right to Buy) | $34.1 | 3/8/2021 | | M | | | 6510 | 1/4/2018 | 1/4/2027 | Common Stock | 6510.0 | $73.84 (2) | 6510 | D | |
Stock Option (Right to Buy) | $36.95 | 3/8/2021 | | M | | | 7980 | 1/2/2019 | 1/2/2028 | Common Stock | 7980.0 | $73.84 (2) | 15960 | D | |
Stock Option (Right to Buy) | $41.37 | | | | | | | 3/11/2020 | 3/11/2029 | Common Stock | 55200.0 | | 55200 | D | |
Stock Option (Right to Buy) | $44.22 | | | | | | | 3/11/2021 | 3/11/2030 | Common Stock | 29140.0 | | 29140 | D | |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $73.90 to $74.46. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
(2) | This transaction was executed in multiple trades at prices ranging from $73.50 to $74.52. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Asbjornson Scott M 708 W. 79TH STREET S. TULSA, OK 74132 |
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| Vice President, Finance & CFO |
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Signatures
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Scott M. Asbjornson | | 3/9/2021 |
**Signature of Reporting Person | Date |
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