SEC Form 4 · accession 0000824142-16-000229
AAON, INC. · AAON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Norman H Asbjornson
Officer — CEO · Director · 10% Owner
Period of report
Nov 9, 2016
Accepted (ET)
Nov 10, 2016 · 3:13 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 $.004 | Nov 9, 2016 | G | 200,000 | $0.00 | D | 9,741,502 | D | |
| Common Stock, par value $.004 | holding | — | — | — | 429,655 | I | Private Foundation | |
| Common Stock, par value $.004 | holding | — | — | — | 552,416 | I | Trustee of trusts | |
| Common Stock, par value $.004 | holding | — | — | — | 5,674 | I | 401(k) Plan |
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) | $23.57 | holding | — | — | — | Feb 26, 2016 | Feb 26, 2025 | Common Stock | 38,320 | 38,320 | D |
| Stock Option (Right to Buy) | $20.92 | holding | — | — | — | Jan 26, 2017 | Jan 26, 2026 | Common Stock | 34,990 | 34,990 | D |