0001209191-17-016981.txt : 20170302 0001209191-17-016981.hdr.sgml : 20170302 20170302193427 ACCESSION NUMBER: 0001209191-17-016981 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: Ball Jeffrey Alan CENTRAL INDEX KEY: 0001651360 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 17660987 MAIL ADDRESS: STREET 1: 30 FORBES ROAD, BUILDING B STREET 2: C/O ASPEN AEROGELS, INC. CITY: NORTHBOROUGH STATE: MA ZIP: 01532 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-28 0 0001145986 ASPEN AEROGELS INC ASPN 0001651360 Ball Jeffrey Alan C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH MA 01532 0 1 0 0 VP, Operations Common Stock 2017-02-28 4 A 0 24154 0.00 A 63599 D Stock Options (right to buy) 4.14 2017-02-28 4 A 0 47492 0.00 A 2027-02-28 Common Stock 47492 47492 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 7,124 shares of Common Stock and 56,475 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