0000950142-15-001460.txt : 20150619 0000950142-15-001460.hdr.sgml : 20150619 20150619163018 ACCESSION NUMBER: 0000950142-15-001460 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150617 FILED AS OF DATE: 20150619 DATE AS OF CHANGE: 20150619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RESERVOIR CAPITAL PARTNERS CAYMAN LP CENTRAL INDEX KEY: 0001351308 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942691 BUSINESS ADDRESS: STREET 1: 650 MADISON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126109000 MAIL ADDRESS: STREET 1: 650 MADISON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RESERVOIR CAPITAL GROUP LLC CENTRAL INDEX KEY: 0001137465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942692 BUSINESS ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126109000 MAIL ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCGM LLC CENTRAL INDEX KEY: 0001091555 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942693 BUSINESS ADDRESS: STREET 1: 650 MADISON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126109000 MAIL ADDRESS: STREET 1: 650 MADISON AVENUE, 26TH FLOOR STREET 2: 650 MADISON AVENUE, 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: RESERVOIR CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 19990722 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STERN DANIEL H CENTRAL INDEX KEY: 0001105604 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942694 MAIL ADDRESS: STREET 1: C/O STARWOOD HOTELS & RESORTS WORLDWIDE STREET 2: 44 SOUTH BROADWAY CITY: WHITE PLAINS STATE: NY ZIP: 10601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RESERVOIR CAPITAL PARTNERS LP CENTRAL INDEX KEY: 0001091348 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942696 BUSINESS ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126109000 MAIL ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HUFF CRAIG A CENTRAL INDEX KEY: 0001241947 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942697 MAIL ADDRESS: STREET 1: 650 MADISON AVENUE STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RESERVOIR CAPITAL MASTER FUND LP CENTRAL INDEX KEY: 0001137467 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942695 BUSINESS ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126109000 MAIL ADDRESS: STREET 1: 650 MADISON AVE STREET 2: 26TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP GP, LLC CENTRAL INDEX KEY: 0001610297 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 15942690 BUSINESS ADDRESS: STREET 1: C/O RESERVOIR CAPITAL GROUP, LLC STREET 2: 650 MADISON AVENUE, 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 610-9000 MAIL ADDRESS: STREET 1: C/O RESERVOIR CAPITAL GROUP, LLC STREET 2: 650 MADISON AVENUE, 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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 4 1 es1500853_4-aspen.xml OWNERSHIP DOCUMENT X0306 4 2015-06-17 0 0001145986 ASPEN AEROGELS INC ASPN 0001241947 HUFF CRAIG A C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 1 0 1 0 0001091348 RESERVOIR CAPITAL PARTNERS LP C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 0001137467 RESERVOIR CAPITAL MASTER FUND LP C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 0001105604 STERN DANIEL H C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 0001091555 RCGM LLC C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 0001137465 RESERVOIR CAPITAL GROUP LLC 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 0001351308 RESERVOIR CAPITAL PARTNERS CAYMAN LP C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 0001610297 RCP GP, LLC C/O RESERVOIR CAPITAL GROUP, L.L.C. 767 FIFTH AVENUE, 16TH FLOOR NEW YORK NY 10153 0 0 1 0 Common Stock 2015-06-17 4 A 0 7715 0 A 15442 D Common Stock 250470 I Held by Reservoir Capital Master Fund, L.P. Common Stock 2639455 I Held by Reservoir Capital Partners, L.P. Stock Option (right to buy) 6.61 2015-06-17 4 A 0 10228 0 A 2025-06-17 Common Stock 10228 10228 D 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. 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. 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. 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. /s/ Craig A. Huff 2015-06-19 /s/ Reservoir Capital Partners, L.P., by RCP GP, LLC, its general partner, by Craig A. Huff, Co-Chief Executive Officer 2015-06-19 /s/ Reservoir Capital Master Fund, L.P., by Reservoir Capital Group, L.L.C., its general partner, by Craig A. Huff, Co-Chief Executive Officer 2015-06-19 /s/ Daniel H. Stern 2015-06-19 /s/ RCGM, LLC, by Craig A. Huff, Senior Managing Director 2015-06-19 /s/ Reservoir Capital Group, L.L.C., by Craig A. Huff, Co-Chief Executive Officer 2015-06-19 /s/ Reservoir Capital Partners (Cayman), L.P., by Reservoir Capital Group, L.L.C., its general partner, by Craig A. Huff, Co-Chief Executive Officer 2015-06-19 /s/ RCP GP, LLC, by Craig A. Huff, Co-Chief Executive Officer 2015-06-19