SEC Form 4 · accession 0000824142-17-000116
AAON, INC. · AAON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott M Asbjornson
Officer — Vice President, Finance & CFO
Period of report
Jun 6, 2017
Accepted (ET)
Jun 7, 2017 · 10:40 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 | Jun 6, 2017 | S | 2,057 | $36.725 | D | 860,165 | D | |
| Common Stock, par value $.004 | Jun 6, 2017 | M | 4,500 | $8.65 | A | 864,665 | D | |
| Common Stock, par value $.004F1 | Jun 6, 2017 | S | 4,500 | $36.7512 | D | 860,165 | D | |
| Common Stock, par value $.004 | Jun 6, 2017 | M | 1,922 | $21.93 | A | 862,087 | D | |
| Common Stock, par value $.004 | Jun 6, 2017 | M | 1,336 | $22.15 | A | 863,423 | D | |
| Common Stock, par value $.004 | Jun 6, 2017 | S | 3,258 | $36.6352 | D | 860,165 | D | |
| Common Stock, par value $.004 | holding | — | — | — | 178 | I | 401(k) Plan | |
| Common Stock, par value $.004 | holding | — | — | — | 540,000 | I | Custodian for the benefit of his children |
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) | $8.65 | Jun 6, 2017 | M | 4,500 | D | May 15, 2013 | May 15, 2022 | Common Stock | 4,500 | 0 | D |
| Stock Option (Right to Buy) | $21.93 | Jun 6, 2017 | M | 1,922 | D | Jan 2, 2016 | Jan 2, 2025 | Common Stock | 1,922 | 2,883 | D |
| Stock Option (Right to Buy) | $22.15 | Jun 6, 2017 | M | 1,336 | D | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 1,336 | 5,344 | D |
| Stock Option (Right to Buy) | $34.10 | holding | — | — | — | Jan 4, 2018 | Jan 4, 2027 | Common Stock | 32,550 | 32,550 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $36.705 to $36.7534. 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.