0001209191-21-014872.txt : 20210226 0001209191-21-014872.hdr.sgml : 20210226 20210226171704 ACCESSION NUMBER: 0001209191-21-014872 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210224 FILED AS OF DATE: 20210226 DATE AS OF CHANGE: 20210226 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: 21691168 MAIL ADDRESS: STREET 1: C/O NEW ENGLAND BUSINESS SERVICE INC. STREET 2: 500 MAIN ST CITY: GROTON STATE: MA ZIP: 01471 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-02-24 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 2021-02-24 4 A 0 3108 24.13 A 152213 D Stock Option (Right to Buy) 24.13 2021-02-24 4 A 0 17095 0.00 A 2031-02-24 Common Stock 17095 17095 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 24, 2022, an additional one-third of the shares on February 24, 2023 and the remaining one-third of the shares on February 24, 2024. Represents 101,336 shares of Common Stock and 50,877 Restricted Stock Units. The options vest as to one-third of the shares on February 24, 2022, an additional one-third of the shares on February 24, 2023 and the remaining one-third of the shares on February 24, 2024. Poongunran Muthukumaran, Attorney-in-Fact 2021-02-26