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