0001209191-17-016985.txt : 20170302 0001209191-17-016985.hdr.sgml : 20170302 20170302193942 ACCESSION NUMBER: 0001209191-17-016985 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170228 FILED AS OF DATE: 20170302 DATE AS OF CHANGE: 20170302 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: 17661005 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 2017-02-28 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 2017-02-28 4 A 0 36231 0.00 A 107847 D Common Stock 2017-03-01 4 F 0 4337 4.18 D 103510 D Stock Options (right to buy) 4.14 2017-02-28 4 A 0 71238 0.00 A 2027-02-28 Common Stock 71238 71238 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 February 28, 2018, an additional one-third of the shares on February 28, 2019, and the remaining one-third of the shares on February 28, 2020. Represents 13,664 shares of Common Stock and 94,183 RSUs Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based RSUs. Represents 20,814 shares of Common Stock and 82,696 RSUs The options vest as to one-third of the shares on February 28, 2018, an additional one-third of the shares on February 28, 2019 and the remaining one-third of the shares on February 28, 2020. /s/ Poongunran Muthukumaran, Attorney-in-fact 2017-03-02