0001104659-11-029391.txt : 20110516 0001104659-11-029391.hdr.sgml : 20110516 20110516172316 ACCESSION NUMBER: 0001104659-11-029391 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110504 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pyenson Eric J. CENTRAL INDEX KEY: 0001520778 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 11848650 MAIL ADDRESS: STREET 1: A123 SYSTEMS, INC. STREET 2: 200 WEST STREET CITY: WALTHAM STATE: MA ZIP: 02451 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 3 1 a3.xml 3 X0203 3 2011-05-04 0 0001167178 A123 SYSTEMS, INC. AONE 0001520778 Pyenson Eric J. C/O A123 SYSTEMS, INC. 200 WEST STREET WALTHAM MA 02451 0 1 0 0 V. P. and General Counsel Common Stock 19783 D Stock Option (right to buy) 5.15 2017-04-05 Common Stock 120000 D Stock Option (right to buy) 9.71 2019-06-25 Common Stock 75000 D Stock Option (right to buy) 10.11 2020-05-17 Common Stock 29299 D Represents units of restricted stock, 25% of which vest on May 18, 2011. Thereafter, 6.25% of the total number of units vest at the end of each three-month period, so that the entire number of units will be fully vested on May 18, 2014. 100% of the shares subject to the option are fully vested and exercisable. 32,813 of the shares subject to the option are fully vested and exercisable. Of the remaining shares subject to the option, 4,687 shares will vest on June 25, 2011 and 6.25% of the total shares subject to the option will vest at the end of each three-month period thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on June 25, 2013. Option vests with respect to 25% of the shares subject thereto on May 18, 2011 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 18, 2014. /s/ Eric J. Pyenson 2011-05-16