0001209191-16-105767.txt : 20160303 0001209191-16-105767.hdr.sgml : 20160303 20160303191518 ACCESSION NUMBER: 0001209191-16-105767 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160301 FILED AS OF DATE: 20160303 DATE AS OF CHANGE: 20160303 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASPEN AEROGELS INC CENTRAL INDEX KEY: 0001145986 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-LUMBER & OTHER CONSTRUCTION MATERIALS [5030] IRS NUMBER: 043559972 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30 FORBES ROAD STREET 2: BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 BUSINESS PHONE: 5086911111 MAIL ADDRESS: STREET 1: 30 FORBES ROAD STREET 2: BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAIRBANKS JOHN F CENTRAL INDEX KEY: 0001094147 STANDARD INDUSTRIAL CLASSIFICATION: MANIFOLD BUSINESS FORMS [2761] STATE OF INCORPORATION: DE FISCAL YEAR END: 0627 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 161483150 MAIL ADDRESS: STREET 1: C/O NEW ENGLAND BUSINESS SERVICE INC. STREET 2: 500 MAIN ST CITY: GROTON STATE: MA ZIP: 01471 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-01 0 0001145986 ASPEN AEROGELS INC ASPN 0001094147 FAIRBANKS JOHN F C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH MA 01532 0 1 0 0 VP, CFO and Treasurer Common Stock 2016-03-01 4 A 0 34461 0.00 A 75379 D Stock Options (right to buy) 3.99 2016-03-01 4 A 0 67316 0.00 A 2026-03-01 Common Stock 67316 67316 D Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon vesting. The RSUs vest as to one-third of the shares on March 1, 2017, an additional one-third of the shares on March 1, 2018, and the remaining one-third of the shares on March 1, 2019. Represents 5,682 shares of Common Stock and 69,697 RSUs The options vest as to one-third of the shares on March 1, 2017, an additional one-third of the shares on March 1, 2018 and the remaining one-third of the shares on March 1, 2019. /s/ Poongunran Muthukumaran, Attorney-in-fact 2016-03-03