0001104659-11-031204.txt : 20110524
0001104659-11-031204.hdr.sgml : 20110524
20110524183609
ACCESSION NUMBER: 0001104659-11-031204
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110520
FILED AS OF DATE: 20110524
DATE AS OF CHANGE: 20110524
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Forcier Jason
CENTRAL INDEX KEY: 0001472300
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34463
FILM NUMBER: 11869123
MAIL ADDRESS:
STREET 1: A123 SYSTEMS INC ARSENAL ON THE CHARLE
STREET 2: 321 ARSENAL STREET
CITY: WATERTOWN
STATE: MA
ZIP: 02472
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: A123 SYSTEMS, INC.
CENTRAL INDEX KEY: 0001167178
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
IRS NUMBER: 043583876
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ARSENAL ON THE CHARLES
STREET 2: 321 ARSENAL STREET
CITY: WATERTOWN
STATE: MA
ZIP: 02472
BUSINESS PHONE: 6177785700
MAIL ADDRESS:
STREET 1: ARSENAL ON THE CHARLES
STREET 2: 321 ARSENAL STREET
CITY: WATERTOWN
STATE: MA
ZIP: 02472
FORMER COMPANY:
FORMER CONFORMED NAME: A123 SYSTEMS INC
DATE OF NAME CHANGE: 20020212
4
1
a4.xml
4
X0303
4
2011-05-20
0
0001167178
A123 SYSTEMS, INC.
AONE
0001472300
Forcier Jason
C/O A123 SYSTEMS, INC.
200 WEST STREET
WALTHAM
MA
02451
0
1
0
0
VP, Automotive Group
Common Stock
2011-05-20
4
A
0
40000
0.00
A
59783
D
Common Stock
2011-05-23
4
S
0
4945
5.5246
D
54838
D
Stock Option (right to buy)
5.66
2011-05-20
4
A
0
50000
0.00
A
2021-05-20
Common Stock
50000
50000
D
Restricted stock units ("RSUs"). Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU.
25% of the RSUs will vest on May 20, 2012, and 6.25% of the total number of RSUs will vest at the end of each three-month period thereafter, so that 100% of the RSUs will be fully vested on May 20, 2015.
Includes 54,838 RSUs.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
These transactions were executed in multiple trades in prices ranging from $5.50 to $5.56. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the SEC staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
Option vests with respect to 25% of the shares subject thereto on May 20, 2012, and 6.25% of the total shares subject to the option will vest at the end of each three-month period thereafter, such that the option will be fully vested and exercisable on May 20, 2015.
/s/ Eric J. Pyenson, Attorney-in-Fact for Jason Forcier
2011-05-24