0001209191-18-015980.txt : 20180302 0001209191-18-015980.hdr.sgml : 20180302 20180302182724 ACCESSION NUMBER: 0001209191-18-015980 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180228 FILED AS OF DATE: 20180302 DATE AS OF CHANGE: 20180302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Landes Gregg CENTRAL INDEX KEY: 0001731877 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 18663877 MAIL ADDRESS: STREET 1: C/O ASPEN AEROGELS, INC. STREET 2: 30 FORBES ROAD, BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-02-28 0 0001145986 ASPEN AEROGELS INC ASPN 0001731877 Landes Gregg C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH MA 01532 0 1 0 0 VP, Innovation & Strategic Dev Common Stock 23407 D Stock Options (right to buy) 6.04 2026-11-02 Common Stock 18971 D Stock Options (right to buy) 4.14 2027-02-28 Common Stock 27308 D Represents 7,802 shares of common stock and 15,605 restricted stock units ("RSU"). Each RSU represents the right to receive one share of common stock upon vesting. The options, originally granted on November 2, 2016, vested as to one-third of the shares on November 2, 2017, an additional one-third of the shares will vest on November 2, 2018 and the remaining one-third of the shares will vest on November 2, 2019. The options, originally granted on February 28, 2017, vested as to one-third of the shares on February 28, 2018, an additional one-third of the shares will vest on February 28, 2019 and the remaining one-third of the shares will vest on February 28, 2020. Exhibit 24 - Power of Attorney /s/ Poongunran Muthukumaran, Attorney-in-fact 2018-03-02 EX-24.3_774917 2 poa.txt POA DOCUMENT Exhibit 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints John F. Fairbanks, Vice President, Chief Financial Officer and Treasurer of Aspen Aerogels, Inc. (the "Company"), Poongunran Muthukumaran, Corporate Attorney of the Company, and John Rudy, John Condon, Nishant Dharia, Anne Leland and Brenda Meyette each of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., signing singly, with full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, forms and authentication documents for EDGAR Filing Access; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such forms and authentication documents; (3) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director and/or 10% shareholder of the Company, Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (4) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (5) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact, on behalf of the undersigned pursuant to this Power of Attorney, shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, is not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed this 15th day of February, 2018. By: /s/ Gregg Landes Name: Gregg Landes