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