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.
On this site
- Business registration: ASPEN AEROGELS, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: ASPEN AEROGELS, INC. EXACT (EIN (EXACT))
- Federal award recipient: ASPEN AEROGELS, INC. Fuzzy (name and state)
- Form D issuer: ASPEN AEROGELS INC EXACT (CIK (EXACT))
- Lobbying client: ASPEN AEROGELS Fuzzy (name and state)
- Lobbying client: ASPEN AEROGELS, INC. Fuzzy (name and state)
- Lobbying client: ASPEN AEROGELS, INC. Fuzzy (name and state)
- SEC filer: ASPEN AEROGELS INC EXACT (CIK (EXACT))
- Person page: Craig A Huff Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: James E Sweetnam Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Richard F Reilly Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 14
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2011-06-24 | S-1 | S-1 (registration) | ASPEN AEROGELS INC | 0000950123-11-061638 ↗ |
| 2011-07-26 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0000950123-11-068228 ↗ |
| 2011-08-08 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0000950123-11-074349 ↗ |
| 2011-09-01 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0000950123-11-082033 ↗ |
| 2013-05-17 | RW | RW (withdrawal request) | ASPEN AEROGELS INC | 0001193125-13-226134 ↗ |
| 2014-04-28 | S-1 | S-1 (registration) | ASPEN AEROGELS INC | 0001193125-14-163033 ↗ |
| 2014-05-14 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0001193125-14-199213 ↗ |
| 2014-05-22 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0001193125-14-209922 ↗ |
| 2014-06-02 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0001193125-14-220809 ↗ |
| 2014-06-10 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0001193125-14-231916 ↗ |
| 2014-06-12 | S-1/A | S-1/A (amendment) | ASPEN AEROGELS INC | 0001193125-14-234297 ↗ |
| 2014-06-12 | S-1MEF | S-1MEF (added securities) | ASPEN AEROGELS INC | 0001193125-14-235228 ↗ |
| 2014-06-12 | EFFECT | EFFECT (declared effective) | ASPEN AEROGELS INC | 9999999995-14-001751 ↗ |
| 2014-06-16 | 424B4 | 424B4 (final prospectus) | ASPEN AEROGELS INC | 0001193125-14-236586 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2014-06-12 | S-1/A | registration statement | $14.00–$16.00 | $15.00 | 6,666,667 | $100,000,005 | NYSE ASPN | 5 | primary document; range, price sentence, shares headline, proceeds computed, cover names 5 | document ↗ |
| 2014-06-16 | 424B4 | final prospectus | $11.00 | 7,500,000 | $82,500,000 | NYSE ASPN | 5 | primary document; price sentence, shares headline, proceeds table, cover names 5 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Battin P Ramsay | Director | 4 | 2014–2015 | ||
| FAIRBANKS JOHN F | Officer | VP, CFO and Treasurer | 25 | 2014–2022 | |
| GEORGE KAISER FAMILY FOUNDATION | TenPercentOwner | 2 | 2014 | ||
| Gervis Robert M. | Director | 32 | 2014–2022 | ||
| GKFF Ventures I, LLC | TenPercentOwner | 2 | 2014 | ||
| Gould George L | Officer | Chief Technology Officer; VP, Research and Development | 22 | 2014–2022 | |
| Levit Ken | TenPercentOwner | 2 | 2014 | ||
| Mitchell Steven R | Director | 16 | 2014–2026 | ||
| Noetzel Mark L | Director | 18 | 2014–2024 | ||
| Prend David J | Director | 4 | 2014 | ||
| Reilly Richard F | Director | 13 | 2014–2022 | person page Fuzzy | |
| Schmidt Kevin Alan | Officer | VP, Operations | 4 | 2014–2015 | |
| Thomas Robert | TenPercentOwner | 2 | 2014 | ||
| Whitaker Corby C | Officer | Chief Commercial Officer; SVP, Sales and Marketing | 49 | 2014–2026 | |
| Young Donald R | Director,Officer | President and CEO | 52 | 2014–2026 | |
| HUFF CRAIG A | Director,TenPercentOwner; TenPercentOwner | 10 | 2014–2017 | person page Fuzzy | |
| RCGM LLC | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| RCP GP, LLC | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| RESERVOIR CAPITAL GROUP LLC | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| RESERVOIR CAPITAL MASTER FUND LP | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| RESERVOIR CAPITAL PARTNERS CAYMAN LP | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| RESERVOIR CAPITAL PARTNERS LP | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| STERN DANIEL H | Director,TenPercentOwner; TenPercentOwner | 9 | 2014–2017 | ||
| NOGLOWS WILLIAM P | Director | 17 | 2014–2026 | ||
| Ball Jeffrey Alan | Officer | VP, Operations | 14 | 2015–2019 | |
| Conte Kelley | Officer | Senior Vice President, HR; Vice President,Human Resources | 25 | 2016–2023 | |
| Blalock Rebecca | Director | 10 | 2016–2024 | ||
| Landes Gregg | Officer | Chief Operating Officer; SVP, Operations and Strat Dev; SVP, Operations and Strat Deve; VP, Innovation & Strategic Dev; VP, Strategic Development & Op | 31 | 2018–2026 | |
| KOCH INDUSTRIES INC | Other; TenPercentOwner | 11 | 2021–2024 | ||
| SCC Holdings, LLC | TenPercentOwner | 1 | 2021 | ||
| SPRING CREEK CAPITAL LLC | TenPercentOwner | 3 | 2021–2022 | ||
| SCHILLING KEITH L | Officer | Sr. Vice President, Technology; SVP, Technology | 17 | 2022–2025 | |
| Wood River Capital, LLC | Other; TenPercentOwner | 12 | 2022–2026 | ||
| RODRIGUEZ RICARDO C. | Officer | CFO & Treasurer; SVP, CFO & Treasurer | 17 | 2022–2025 | |
| Johnson Virginia | Officer | CLO, GC and Secretary; CLO, GC, and Secretary; CLO, GC, Secretary & CCO | 12 | 2022–2025 | |
| SWEETNAM JAMES E | Director | 7 | 2022–2026 | person page Fuzzy | |
| Kool Kathleen | Director | 7 | 2022–2026 | ||
| Pittman Stephanie | Officer | Chief Human Resources Officer | 6 | 2023–2025 | |
| Daniel Santhosh P | Officer | Chief Accounting Officer | 8 | 2023–2026 | |
| Koch, Inc. | TenPercentOwner | 3 | 2024–2026 | ||
| Robinson Cari | Director | 4 | 2024–2026 | ||
| DEEGAN GLENN E. | Officer | CAO, GC & Corp Secretary | 3 | 2025–2026 | |
| Thoele Grant Douglas | Officer | CFO & Treasurer | 6 | 2025–2026 |
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 filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2022-04-06 | ASPEN AEROGELS INC | Other Technology | $49,999,994 | $49,999,994 | 1 | 1 |
| 2022-03-03 | ASPEN AEROGELS INC | Other Technology | $100,000,000 | $100,000,000 | 1 | 1 |
| 2021-07-01 | ASPEN AEROGELS INC | Other Technology | $74,999,992 | $74,999,992 | 1 | 1 |
| 2012-03-16 | ASPEN AEROGELS INC | Other Technology | $25,000,000 | $15,755,126 | 46 | 1 |
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
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | ASPEN AEROGELS, INC. | MA | State business registries | name and state |
| Federal award recipient | ASPEN AEROGELS, INC. | MA | Federal spending (USAspending) | name and state |
| Form D issuer | ASPEN AEROGELS INC | MA | Form D private offerings | CIK (EXACT) |
| Lobbying client | ASPEN AEROGELS | MA | Federal lobbying (LDA) | name and state |
| Lobbying client | ASPEN AEROGELS, INC. | MA | Federal lobbying (LDA) | name and state |
| Lobbying client | ASPEN AEROGELS, INC. | MA | Federal lobbying (LDA) | name and state |
| Patent assignee | Aspen Aerogels, Inc. | MA | Patents (USPTO) | name and state |
| SEC filer | ASPEN AEROGELS INC | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Aspen Aerogels, Inc. | MA | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | ASPEN AEROGELS, INC. | EIN (EXACT) | ||
| Person page | Craig A Huff | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) | |
| Person page | James E Sweetnam | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Richard F Reilly | People (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.