SEC Form 4 · accession 0000824142-17-000059
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 14, 2017
Accepted (ET)
Mar 15, 2017 · 10:21 am EDT
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 | Mar 14, 2017 | M | 800 | $21.93 | A | 23,443 | D | |
| Common Stock, par value $.004 | Mar 14, 2017 | M | 848 | $22.15 | A | 24,291 | D | |
| Common Stock, par value $.004 | Mar 14, 2017 | S | 1,248 | $35.39 | D | 23,043 | D | |
| Common Stock, par value $.004 | holding | — | — | — | 2,113 | 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) | $21.93 | Mar 14, 2017 | M | 800 | D | Jan 2, 2016 | Jan 2, 2025 | Common Stock | 800 | 2,400 | D |
| Stock Option (Right to Buy) | $22.15 | Mar 14, 2017 | M | 848 | D | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 848 | 3,392 | D |
| Stock Option (Right to Buy) | $8.65 | holding | — | — | — | May 15, 2013 | May 15, 2022 | Common Stock | 4,500 | 4,500 | D |
| Stock Option (Right to Buy) | $34.10 | holding | — | — | — | Jan 4, 2018 | Jan 4, 2027 | Common Stock | 33,475 | 33,475 | D |