4//SEC Filing
RESERVOIR CAPITAL PARTNERS CAYMAN LP 4
Accession 0000950142-15-001460
CIK 0001145986other
Filed
Jun 18, 8:00 PM ET
Accepted
Jun 19, 4:30 PM ET
Size
22.8 KB
Accession
0000950142-15-001460
Insider Transaction Report
Form 4
RCGM LLC
Director10% Owner
Transactions
- Award
Common Stock
2015-06-17+7,715→ 15,442 total - Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying)
Holdings
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
RESERVOIR CAPITAL PARTNERS CAYMAN LP
Director10% Owner
Transactions
- Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying) - Award
Common Stock
2015-06-17+7,715→ 15,442 total
Holdings
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
RESERVOIR CAPITAL MASTER FUND LP
Director10% Owner
Transactions
- Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying) - Award
Common Stock
2015-06-17+7,715→ 15,442 total
Holdings
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
HUFF CRAIG A
Director10% Owner
Transactions
- Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying) - Award
Common Stock
2015-06-17+7,715→ 15,442 total
Holdings
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
RESERVOIR CAPITAL PARTNERS LP
Director10% Owner
Transactions
- Award
Common Stock
2015-06-17+7,715→ 15,442 total - Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying)
Holdings
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
STERN DANIEL H
Director10% Owner
Transactions
- Award
Common Stock
2015-06-17+7,715→ 15,442 total - Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying)
Holdings
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
RESERVOIR CAPITAL GROUP LLC
Director10% Owner
Transactions
- Award
Common Stock
2015-06-17+7,715→ 15,442 total - Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying)
Holdings
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
RCP GP, LLC
Director10% Owner
Transactions
- Award
Common Stock
2015-06-17+7,715→ 15,442 total - Award
Stock Option (right to buy)
2015-06-17+10,228→ 10,228 totalExercise: $6.61Exp: 2025-06-17→ Common Stock (10,228 underlying)
Holdings
- 2,639,455(indirect: Held by Reservoir Capital Partners, L.P.)
Common Stock
- 250,470(indirect: Held by Reservoir Capital Master Fund, L.P.)
Common Stock
Footnotes (4)
- [F1]The Reporting Person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) one year from the date of the grant (June 17, 2016) or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2016.
- [F2]Pursuant to an arrangement between Mr. Huff, Reservoir Capital Partners, L.P. ("RCP") and Reservoir Capital Master Fund, L.P. ("RCMF") (collectively, the "Reservoir Funds"), such shares and options are held by him solely as a nominee for the Reservoir Funds and he is required to transfer such shares and the shares underlying such options to the applicable Reservoir Funds as soon as practicable after such shares can be transferred without restrictions. Such shares and options are included as directly beneficially owned by Mr. Huff, but may also be deemed to be beneficially owned by the other Reporting Persons as a result of such arrangements. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.
- [F3]The securities held by RCP or RCMF may be deemed to be beneficially owned by Craig A. Huff and Daniel Stern, who are the senior managing members (the "Reservoir Members") of RCGM, LLC ("RCGM"). RCGM is the managing member of Reservoir Capital Group, L.L.C. ("RCG"), which is the general partner of Reservoir Capital Partners (Cayman), L.P. ("RCP Cayman"), which is the sole member of RCP GP, LLC ("RCP GP"), and which is the general partner of RCP. RCG is the general partner of RCMF. Each of the Reservoir Members, RCGM, RCG, RCP Cayman and RCP GP disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein.
- [F4]The Reporting Person was granted options in lieu of the remaining part of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) one year from the date of the grant (June 17, 2016) or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2016.
Documents
Issuer
ASPEN AEROGELS INC
CIK 0001145986
Entity typeother
Related Parties
1- filerCIK 0001351308
Filing Metadata
- Form type
- 4
- Filed
- Jun 18, 8:00 PM ET
- Accepted
- Jun 19, 4:30 PM ET
- Size
- 22.8 KB