IPO registrations (S-1, F-1) · Registrants

ASPEN AEROGELS INC

SEC CIK
1145986 · filings on EDGAR ↗
Registration
Form S-1, first filed 2011-06-24, last 2014-06-12; 2 initial registrations, 8 amendments
Outcome
Final prospectus filed 2014-06-16; declared effective 2014-06-12; withdrawal requested 2013-05-17
Industry (SIC)
Wholesale-Lumber & Other Construction Materials 5030
Incorporated in
DE
Business address
30 FORBES ROAD, BUILDING B, Northborough, MA 01532
EIN
04-3559972
Ticker
ASPN (NYSE)
EDGAR entity type
operating
Insiders and CEO pay
ASPEN AEROGELS INC on the corporate pages

Offering terms

Proposed price range
$14.00–$16.00 per share (S-1/A filed 2014-06-12)
Final price
$11.00 per share, below the range (424B4 filed 2014-06-16, an initial public offering)
Shares sold
7,500,000
Gross proceeds
$82,500,000 before underwriting discounts and any over-allotment option
Listing
NYSE under the symbol ASPN
Lead underwriters
Barclays; J.P. Morgan
Syndicate
Citigroup; Baird; Canaccord Genuity

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 14

FiledFormWhat it isName as filedEDGAR
2011-06-24S-1S-1 (registration)ASPEN AEROGELS INC0000950123-11-061638 ↗
2011-07-26S-1/AS-1/A (amendment)ASPEN AEROGELS INC0000950123-11-068228 ↗
2011-08-08S-1/AS-1/A (amendment)ASPEN AEROGELS INC0000950123-11-074349 ↗
2011-09-01S-1/AS-1/A (amendment)ASPEN AEROGELS INC0000950123-11-082033 ↗
2013-05-17RWRW (withdrawal request)ASPEN AEROGELS INC0001193125-13-226134 ↗
2014-04-28S-1S-1 (registration)ASPEN AEROGELS INC0001193125-14-163033 ↗
2014-05-14S-1/AS-1/A (amendment)ASPEN AEROGELS INC0001193125-14-199213 ↗
2014-05-22S-1/AS-1/A (amendment)ASPEN AEROGELS INC0001193125-14-209922 ↗
2014-06-02S-1/AS-1/A (amendment)ASPEN AEROGELS INC0001193125-14-220809 ↗
2014-06-10S-1/AS-1/A (amendment)ASPEN AEROGELS INC0001193125-14-231916 ↗
2014-06-12S-1/AS-1/A (amendment)ASPEN AEROGELS INC0001193125-14-234297 ↗
2014-06-12S-1MEFS-1MEF (added securities)ASPEN AEROGELS INC0001193125-14-235228 ↗
2014-06-12EFFECTEFFECT (declared effective)ASPEN AEROGELS INC9999999995-14-001751 ↗
2014-06-16424B4424B4 (final prospectus)ASPEN AEROGELS INC0001193125-14-236586 ↗

Prospectus pages read 2

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2014-06-12S-1/Aregistration statement$14.00–$16.00$15.006,666,667$100,000,005NYSE ASPN5primary document; range, price sentence, shares headline, proceeds computed, cover names 5document ↗
2014-06-16424B4final prospectus$11.007,500,000$82,500,000NYSE ASPN5primary document; price sentence, shares headline, proceeds table, cover names 5document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Battin P RamsayDirector42014–2015
FAIRBANKS JOHN FOfficerVP, CFO and Treasurer252014–2022
GEORGE KAISER FAMILY FOUNDATIONTenPercentOwner22014
Gervis Robert M.Director322014–2022
GKFF Ventures I, LLCTenPercentOwner22014
Gould George LOfficerChief Technology Officer; VP, Research and Development222014–2022
Levit KenTenPercentOwner22014
Mitchell Steven RDirector162014–2026
Noetzel Mark LDirector182014–2024
Prend David JDirector42014
Reilly Richard FDirector132014–2022person page Fuzzy
Schmidt Kevin AlanOfficerVP, Operations42014–2015
Thomas RobertTenPercentOwner22014
Whitaker Corby COfficerChief Commercial Officer; SVP, Sales and Marketing492014–2026
Young Donald RDirector,OfficerPresident and CEO522014–2026
HUFF CRAIG ADirector,TenPercentOwner; TenPercentOwner102014–2017person page Fuzzy
RCGM LLCDirector,TenPercentOwner; TenPercentOwner92014–2017
RCP GP, LLCDirector,TenPercentOwner; TenPercentOwner92014–2017
RESERVOIR CAPITAL GROUP LLCDirector,TenPercentOwner; TenPercentOwner92014–2017
RESERVOIR CAPITAL MASTER FUND LPDirector,TenPercentOwner; TenPercentOwner92014–2017
RESERVOIR CAPITAL PARTNERS CAYMAN LPDirector,TenPercentOwner; TenPercentOwner92014–2017
RESERVOIR CAPITAL PARTNERS LPDirector,TenPercentOwner; TenPercentOwner92014–2017
STERN DANIEL HDirector,TenPercentOwner; TenPercentOwner92014–2017
NOGLOWS WILLIAM PDirector172014–2026
Ball Jeffrey AlanOfficerVP, Operations142015–2019
Conte KelleyOfficerSenior Vice President, HR; Vice President,Human Resources252016–2023
Blalock RebeccaDirector102016–2024
Landes GreggOfficerChief Operating Officer; SVP, Operations and Strat Dev; SVP, Operations and Strat Deve; VP, Innovation & Strategic Dev; VP, Strategic Development & Op312018–2026
KOCH INDUSTRIES INCOther; TenPercentOwner112021–2024
SCC Holdings, LLCTenPercentOwner12021
SPRING CREEK CAPITAL LLCTenPercentOwner32021–2022
SCHILLING KEITH LOfficerSr. Vice President, Technology; SVP, Technology172022–2025
Wood River Capital, LLCOther; TenPercentOwner122022–2026
RODRIGUEZ RICARDO C.OfficerCFO & Treasurer; SVP, CFO & Treasurer172022–2025
Johnson VirginiaOfficerCLO, GC and Secretary; CLO, GC, and Secretary; CLO, GC, Secretary & CCO122022–2025
SWEETNAM JAMES EDirector72022–2026person page Fuzzy
Kool KathleenDirector72022–2026
Pittman StephanieOfficerChief Human Resources Officer62023–2025
Daniel Santhosh POfficerChief Accounting Officer82023–2026
Koch, Inc.TenPercentOwner32024–2026
Robinson CariDirector42024–2026
DEEGAN GLENN E.OfficerCAO, GC & Corp Secretary32025–2026
Thoele Grant DouglasOfficerCFO & Treasurer62025–2026

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Private offerings before or after (Form D)

First filedIssuerIndustryOfferingSoldInvestorsFilings
2022-04-06ASPEN AEROGELS INCOther Technology$49,999,994$49,999,99411
2022-03-03ASPEN AEROGELS INCOther Technology$100,000,000$100,000,00011
2021-07-01ASPEN AEROGELS INCOther Technology$74,999,992$74,999,99211
2012-03-16ASPEN AEROGELS INCOther Technology$25,000,000$15,755,126461

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

RecordName as filedWhereDatasetMatched by
Business registrationASPEN AEROGELS, INC.MAState business registriesname and state
Federal award recipientASPEN AEROGELS, INC.MAFederal spending (USAspending)name and state
Form D issuerASPEN AEROGELS INCMAForm D private offeringsCIK (EXACT)
Lobbying clientASPEN AEROGELSMAFederal lobbying (LDA)name and state
Lobbying clientASPEN AEROGELS, INC.MAFederal lobbying (LDA)name and state
Lobbying clientASPEN AEROGELS, INC.MAFederal lobbying (LDA)name and state
Patent assigneeAspen Aerogels, Inc.MAPatents (USPTO)name and state
SEC filerASPEN AEROGELS INCSEC filers (EDGAR)CIK (EXACT)
Trademark ownerAspen Aerogels, Inc.MATrademarks (USPTO)name and state
Form 5500 plan sponsorASPEN AEROGELS, INC.EIN (EXACT)
Person pageCraig A HuffPeople (Form 990 officers, directors and employees)officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner)
Person pageJames E SweetnamPeople (Form 990 officers, directors and employees)officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director)
Person pageRichard F ReillyPeople (Form 990 officers, directors and employees)officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director)

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.