Amended Statement of Changes in Beneficial Ownership (4/a)
March 16 2021 - 06:29PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Fields Gary 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)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
2425 S. YUKON |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/11/2021 |
(Street)
TULSA, OK 74107
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/15/2021 |
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 | 3/11/2021 | | F | | 454 | D | $73.36 | 29486 | D | |
Common Stock, par value $.004 | 3/11/2021 | | A | | 4524 (1) | A | $0 | 34010 | D | |
Common Stock, par value $.004 | 3/16/2021 | | F | | 32 (2) | D | $64.24 | 33978 | D | |
Common Stock, par value $.004 | | | | | | | | 1500 | I | Custodian for the benefit of his grandchildren |
Common Stock, par value $.004 | | | | | | | | 2529 | 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) | $32.7 | | | | | | | 12/1/2017 | 12/1/2026 | Common Stock | 1389.0 | | 1389 | D | |
Stock Option (Right to Buy) | $34.1 | | | | | | | 1/4/2018 | 1/4/2027 | Common Stock | 7470.0 | | 7470 | D | |
Stock Option (Right to Buy) | $36.95 | | | | | | | 1/2/2019 | 1/2/2028 | Common Stock | 37393.0 | | 37393 | D | |
Stock Option (Right to Buy) | $41.37 | | | | | | | 3/11/2020 | 3/11/2029 | Common Stock | 94000.0 | | 94000 | D | |
Stock Option (Right to Buy) | $44.22 | | | | | | | 3/11/2021 | 3/11/2030 | Common Stock | 43040.0 | | 43040 | D | |
Stock Option (Right to Buy) | $47.54 | | | | | | | 5/12/2021 | 5/12/2030 | Common Stock | 39300.0 | | 39300 | D | |
Stock Option (Right to Buy) | $73.36 | | | | | | | 3/11/2022 | 3/11/2031 | Common Stock | 31461.0 (1) | | 31461 | D | |
Explanation of Responses: |
(1) | This stock award is granted under the Issuer's 2016 Long Term Incentive Plan and vests or is exercisable ratably on each of the first three anniversaries of the date of the grant. |
(2) | The original Form 4, filed on March 15, 2021, is being amended by this Form 4 amendment, solely to disclose an administrative error, which did not report a sale that occurred on December 1, 2020 for a total of 32 shares (at $64.24 per share). The number of shares presented above represents the current shares beneficially owned by the reporting person. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fields Gary D 2425 S. YUKON TULSA, OK 74107 | X |
| President and CEO |
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Signatures
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Gary D. Fields | | 3/16/2021 |
**Signature of Reporting Person | Date |
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