SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): June 1, 2021
Aspen Aerogels, Inc.
(Exact name of Registrant as Specified in Its Charter)
(State or Other Jurisdiction
(Commission File Number)
30 Forbes Road, Building B,
(Address of Principal Executive Offices)
Registrant’s Telephone Number, Including Area Code: (508) 691-1111
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Name of exchange on which registered
The New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.07 Submission of Matters to a Vote of Stockholders.
(a) On June 1, 2021, Aspen Aerogels, Inc. (the “Company”) held its 2021 annual meeting of stockholders (the “Annual Meeting”) via live audio webcast on the Internet. Of the 28,345,159 shares of common stock issued and outstanding and eligible to vote as of the record date of April 5, 2021, a quorum of 25,381,972 shares, or 89.5% of the eligible shares, was present at the meeting or represented by proxy.
(b) The following actions were taken at the Annual Meeting:
1. The following nominees were reelected to serve on the Company’s board of directors (the “Board of Directors”) as Class I Directors until the 2024 annual meeting of stockholders and until their respective successors are duly elected and qualified, based on the following votes:
Rebecca B. Blalock
Robert M. Gervis
After the Annual Meeting, Mark L. Noetzel and William P. Noglows continued to serve as Class II Directors for terms that expire at the 2022 annual meeting and Steven R. Mitchell, Richard F. Reilly and Donald R. Young continued to serve as Class III Directors for terms that expire at the 2023 annual meeting.
2. The appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021 was ratified, based on the following votes:
3. The Company’s stockholders approved, in a non-binding advisory vote, the compensation of the Company’s named executive officers, as disclosed in the Company’s 2021 proxy statement, based on the following votes:
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Aspen Aerogels, Inc.
Date: June 1, 2021
/s/ John F. Fairbanks
John F. Fairbanks
Vice President, Chief Financial Officer and Treasurer