SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Asbjornson Scott M

(Last) (First) (Middle)
708 W. 79TH STREET S.

(Street)
TULSA OK 74132

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
AAON, INC. [ AAON ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President, Finance & CFO
3. Date of Earliest Transaction (Month/Day/Year)
05/16/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $.004 05/16/2021 F 1,112(1) D $68.64 846,726 D
Common Stock, par value $.004 05/16/2021 D 1,632(2) D $68.64 845,094 D
Common Stock, par value $.004 540,000 I Custodian for the benefit of his children
Common Stock, par value $.004 2,741 I 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $34.1 05/16/2021(3) 05/16/2022(4) Common Stock 6,510 6,510 D
Stock Option (Right to Buy) $36.95 05/16/2021(3) 05/16/2022(4) Common Stock 15,960 15,960 D
Stock Option (Right to Buy) $41.37 05/16/2021(3) 05/16/2022(4) Common Stock 69,000 69,000 D
Stock Option (Right to Buy) $44.22 03/11/2021(5) 03/11/2030 Common Stock 34,968 34,968 D
Stock Option (Right to Buy) $73.36 05/16/2021 D 11,349(6) 03/11/2022 03/11/2031 Common Stock 11,349 $74.36 0 D
Explanation of Responses:
1. Tax withholding on vesting of Restricted Stock Awards due to retirement, effective May 16, 2021.
2. Forfeiture of Restricted Stock Award (granted 3/11/2021) due to retirement, effective May 16, 2021.
3. Date Exercisable (but not exercised) is accelerated upon retirement, effective May 16, 2021.
4. Expiration date (1 year from retirement) is accelerated upon retirement, effective May 16, 2021.
5. This stock award was granted (on 3/11/2020) 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.
6. Forfeiture of Stock Option Award (granted 3/11/2021) due to retirement, effective May 16, 2021.
Remarks:
Scott M. Asbjornson 05/18/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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