Statement of Changes in Beneficial Ownership (4)
May 18 2021 - 6:41PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Asbjornson Scott M |
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) Vice President, Finance & CFO |
(Last)
(First)
(Middle)
708 W. 79TH STREET S. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/16/2021 |
(Street)
TULSA, OK 74132
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 | 5/16/2021 | | F | | 1112 (1) | D | $68.64 | 846726 | D | |
Common Stock, par value $.004 | 5/16/2021 | | D | | 1632 (2) | D | $68.64 | 845094 | D | |
Common Stock, par value $.004 | | | | | | | | 540000 | I | Custodian for the benefit of his children |
Common Stock, par value $.004 | | | | | | | | 2741 | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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) | $34.1 | | | | | | | 5/16/2021 (3) | 5/16/2022 (4) | Common Stock | 6510.0 | | 6510 | D | |
Stock Option (Right to Buy) | $36.95 | | | | | | | 5/16/2021 (3) | 5/16/2022 (4) | Common Stock | 15960.0 | | 15960 | D | |
Stock Option (Right to Buy) | $41.37 | | | | | | | 5/16/2021 (3) | 5/16/2022 (4) | Common Stock | 69000.0 | | 69000 | D | |
Stock Option (Right to Buy) | $44.22 | | | | | | | 3/11/2021 (5) | 3/11/2030 | Common Stock | 34968.0 | | 34968 | D | |
Stock Option (Right to Buy) | $73.36 | 5/16/2021 | | D | | | 11349 (6) | 3/11/2022 | 3/11/2031 | Common Stock | 11349.0 | $74.36 | 0 | D | |
Explanation of Responses: |
(1) | Tax withholding on vesting of Restricted Stock Awards due to retirement, effective May 16, 2021. |
(2) | Forfeiture of Restricted Stock Award (granted 3/11/2021) due to retirement, effective May 16, 2021. |
(3) | Date Exercisable (but not exercised) is accelerated upon retirement, effective May 16, 2021. |
(4) | Expiration date (1 year from retirement) is accelerated upon retirement, effective May 16, 2021. |
(5) | This stock award was granted (on 3/11/2020) under the Issuer's 2016 Long Term Incentive Plan and is exercisable ratably on each of the first five anniversaries of the date of the grant. |
(6) | Forfeiture of Stock Option Award (granted 3/11/2021) due to retirement, effective May 16, 2021. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Asbjornson Scott M 708 W. 79TH STREET S. TULSA, OK 74132 |
|
| Vice President, Finance & CFO |
|
Signatures
|
Scott M. Asbjornson | | 5/18/2021 |
**Signature of Reporting Person | Date |
AAON (NASDAQ:AAON)
Historical Stock Chart
From Aug 2024 to Sep 2024
AAON (NASDAQ:AAON)
Historical Stock Chart
From Sep 2023 to Sep 2024