SEC Form 4 · accession 0000824142-18-000026
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 5, 2018
Accepted (ET)
Mar 6, 2018 · 10:22 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 $.004 | Mar 5, 2018 | M | 4,500 | $8.65 | A | 33,028 | D | |
| Common Stock, par value $.004 | Mar 5, 2018 | M | 800 | $21.93 | A | 33,828 | D | |
| Common Stock, par value $.004 | Mar 5, 2018 | M | 845 | $22.15 | A | 34,673 | D | |
| Common Stock, par value $.004 | Mar 5, 2018 | M | 1,695 | $34.10 | A | 36,368 | D | |
| Common Stock, par value $.004F1 | Mar 5, 2018 | S | 7,840 | $35.60 | D | 28,528 | D | |
| Common Stock, par value $.004 | holding | — | — | — | 2,927 | 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)F1 | $8.65 | Mar 5, 2018 | M | 4,500 | D | May 15, 2013 | May 15, 2022 | Common Stock | 4,500 | 0 | D |
| Stock Option (Right to Buy)F1 | $21.93 | Mar 5, 2018 | M | 800 | D | Jan 2, 2016 | Jan 2, 2025 | Common Stock | 800 | 1,600 | D |
| Stock Option (Right to Buy)F1 | $22.15 | Mar 5, 2018 | M | 845 | D | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 845 | 2,547 | D |
| Stock Option (Right to Buy)F1 | $34.10 | Mar 5, 2018 | M | 1,695 | D | Jan 4, 2018 | Jan 4, 2027 | Common Stock | 1,695 | 31,780 | D |
| Stock Option (Right to Buy) | $36.95 | holding | — | — | — | Jan 2, 2019 | Jan 2, 2028 | Common Stock | 35,600 | 35,600 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $35.53 to $35.70. 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.