Statement of Changes in Beneficial Ownership (4)
May 09 2019 - 05:29PM
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).
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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
Estimated average burden
hours per response... 0.5 |
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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 *
Wakefield Stephen E |
2. Issuer Name and Ticker or Trading
Symbol AAON INC [ AAON ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable) _____ Director
_____ 10% Owner
__ X __ Officer (give title below)
_____ Other (specify
below)
VP, Engineering |
(Last)
(First)
(Middle)
2425 SOUTH YUKON |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/7/2019
|
(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock, par value $.004
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5/7/2019 |
|
S |
|
1118
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D |
$47.83 (1) |
6878 |
D |
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Common Stock, par value $.004
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|
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|
|
|
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4484 |
I |
401(k) Plan |
Common Stock |
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|
|
|
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625 |
I |
By Spouse |
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)
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$22.76 |
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12/18/2016 |
12/18/2025 |
Common Stock |
3064.0 |
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3064 |
D |
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Stock Option (Right to Buy)
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$26.47 |
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|
|
|
|
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8/1/2017 |
8/1/2026 |
Common Stock |
1415.0 |
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1415 |
D |
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Stock Option (Right to Buy)
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$32.8 |
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|
|
|
|
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11/18/2017 |
11/18/2026 |
Common Stock |
2400.0 |
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2400 |
D |
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Stock Option (Right to Buy)
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$36.95 |
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|
|
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1/2/2019 |
1/2/2028 |
Common Stock |
22200.0 |
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22200 |
D |
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Stock Option (Right to Buy)
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$41.37 |
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3/11/2020 |
3/11/2029 |
Common Stock |
91000.0 |
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91000 |
D |
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Explanation of
Responses: |
(1) |
This transaction was
executed in multiple trades at prices ranging from $47.63 to
$47.88. 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
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Wakefield Stephen E
2425 SOUTH YUKON
TULSA, OK 74107 |
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|
VP, Engineering |
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Signatures
|
Stephen E Wakefield |
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5/9/2019 |
**
Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(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). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
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. |