0001104659-11-031203.txt : 20110524 0001104659-11-031203.hdr.sgml : 20110524 20110524183551 ACCESSION NUMBER: 0001104659-11-031203 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110520 FILED AS OF DATE: 20110524 DATE AS OF CHANGE: 20110524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Robert Joseph CENTRAL INDEX KEY: 0001373486 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 11869121 MAIL ADDRESS: STREET 1: C O AMERICAN POWER CONVERSION CORP STREET 2: 801 CORPORATE CENTRE DRIVE CITY: O'FALLON STATE: MO ZIP: 63368 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: A123 SYSTEMS, INC. CENTRAL INDEX KEY: 0001167178 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 043583876 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 6177785700 MAIL ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 FORMER COMPANY: FORMER CONFORMED NAME: A123 SYSTEMS INC DATE OF NAME CHANGE: 20020212 4 1 a4.xml 4 X0303 4 2011-05-20 0 0001167178 A123 SYSTEMS, INC. AONE 0001373486 Johnson Robert Joseph C/O A123 SYSTEMS, INC. 200 WEST STREET WALTHAM MA 02451 0 1 0 0 VP and GM, Energy Sol'ns Group Common Stock 2011-05-20 4 A 0 25000 0.00 A 44783 D Common Stock 2011-05-23 4 S 0 4945 5.5248 D 39838 D Stock Option (right to buy) 5.66 2011-05-20 4 A 0 37000 0.00 A 2021-05-20 Common Stock 37000 37000 D Restricted stock units ("RSUs"). Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU. 25% of the RSUs will vest on May 20, 2012, and 6.25% of the total number of RSUs will vest at the end of each three-month period thereafter, so that 100% of the RSUs will be fully vested on May 20, 2015. Includes 39,838 RSUs. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. These transactions were executed in multiple trades in prices ranging from $5.50 to $5.555. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Option vests with respect to 25% of the shares subject thereto on May 20, 2012, and 6.25% of the total shares subject to the option will vest at the end of each three-month period thereafter, such that the option will be fully vested and exercisable on May 20, 2015. /s/ Eric J. Pyenson, Attorney-in-Fact for Robert Joseph Johnson 2011-05-24