Statement of Changes in Beneficial Ownership (4)
August 13 2021 - 4:29PM
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)
8/11/2021 |
(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 | 8/11/2021 | | M | | 3430 | A | $36.95 | 37451 | D | |
Common Stock, par value $.004 | 8/11/2021 | | S | | 3430 | D | $70.09 (1) | 34021 | D | |
Common Stock, par value $.004 | | | | | | | | 2616 | I | 401(k) Plan |
Common Stock, par value $.004 | | | | | | | | 1500 | I | Custodian for the benefit of his grandchildren |
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 | 8/11/2021 | | M | | | 3430 | 1/2/2019 | 1/2/2028 | Common Stock | 3430.0 | $70.09 (1) | 33963 | 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 | | 31461 | D | |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $70.00 to $70.50. 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 |
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 | | 8/13/2021 |
**Signature of Reporting Person | Date |
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