SEC Form 4 · accession 0000824142-17-000022
AAON, INC. · AAON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathy I Sheffield
Officer — Sr. Vice President Admin/Treas
Period of report
Jan 4, 2017
Accepted (ET)
Jan 5, 2017 · 11:28 am 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 | Jan 4, 2017 | A | 680 | $0.00 | A | 27,212 | D | |
| Common Stock, par value $.004 | Jan 4, 2017 | F | 460 | $34.10 | D | 26,752 | D | |
| Common Stock, par value $.004 | holding | — | — | — | 16,470 | 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)F2 | $34.10 | Jan 4, 2017 | A | 24,700 | A | Jan 4, 2018 | Jan 4, 2027 | Common Stock | 24,700 | 24,700 | D |
| Stock Option (Right to Buy) | $4.54 | holding | — | — | — | Mar 9, 2010 | Mar 9, 2019 | Common Stock | 5,000 | 5,000 | D |
| Stock Option (Right to Buy) | $6.89 | holding | — | — | — | May 25, 2011 | May 25, 2020 | Common Stock | 33,750 | 33,750 | D |
| Stock Option (Right to Buy) | $8.65 | holding | — | — | — | May 15, 2013 | May 15, 2022 | Common Stock | 22,500 | 22,500 | D |
| Stock Option (Right to Buy) | $21.93 | holding | — | — | — | Jan 2, 2016 | Jan 2, 2025 | Common Stock | 4,805 | 4,805 | D |
| Stock Option (Right to Buy) | $22.15 | holding | — | — | — | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 6,680 | 6,680 | D |
Explanation of responses
- F1Restricted Stock Grant, vesting ratably over five years
- F2This stock option is granted 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.