SEC Form 4 · accession 0000824142-16-000134
AAON, INC. · AAON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sam Neale
Officer — Vice President
Period of report
Mar 7, 2016
Accepted (ET)
Mar 7, 2016 · 5:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000824142
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.004F1 | Mar 7, 2016 | S | 7,552 | $25.2894 | D | 16,371 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $22.15 | holding | — | — | — | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 4,240 | 4,240 | D |
| Stock Option (Right to Buy) | $21.93 | holding | — | — | — | Jan 2, 2016 | Jan 2, 2025 | Common Stock | 4,000 | 4,000 | D |
| Stock Option (Right to Buy) | $8.65 | holding | — | — | — | May 15, 2013 | May 15, 2022 | Common Stock | 9,000 | 9,000 | D |
| Stock Option (Right to Buy) | $6.89 | holding | — | — | — | May 25, 2011 | May 25, 2020 | Common Stock | 6,750 | 6,750 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $25.2001 to $25.70. 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.