UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Argonaut Private Equity, L.L.C. 7030 S. YALE AVE SUITE 810 TULSA, OK 74136 |
 |  X |  |  |
Mitchell Steven R C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH, MA 01532 |
 |  X |  |  |
Millican Don P. 6733 S. YALE AVE. TULSA, OK 74136 |
 |  X |  |  |
Dorwart Frederic 124 EAST FOURTH STREET TULSA, OK 74103 |
 |  X |  |  |
KINNEAR KENNETH K 6733 S. YALE AVE. TULSA, OK 74136 |
 |  X |  |  |
KAISER GEORGE B C/O FREDERIC DORWART, LAWYERS 124 EAST FOURTH STREET TULSA, OK 74103 |
 |  X |  |  |
Steven R. Mitchell, Managing Director | 03/23/2017 | |
**Signature of Reporting Person | Date | |
Steven R. Mitchell | 03/23/2017 | |
**Signature of Reporting Person | Date | |
Don P. Millican | 03/23/2017 | |
**Signature of Reporting Person | Date | |
Frederic Dorwart | 03/23/2017 | |
**Signature of Reporting Person | Date | |
Ken Kinnear | 03/23/2017 | |
**Signature of Reporting Person | Date | |
George B. Kaiser | 03/23/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These securities are owned solely by Argonaut Private Equity, L.L.C. ("Argonaut"). |
(2) | As the managers of Argonaut, Messrs. Mitchell, Millican, Dorwart, and Kinnear are in possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. |
(3) | These securities are owned solely by Steven R. Mitchell. |
(4) | These securities are owned solely by Don P. Millican. |
(5) | These securities are owned solely by Frederic Dorwart. |
(6) | These securities are owned solely by Ken Kinnear. |
(7) | George B. Kaiser solely owns 7,425 Common Units. As the sole member of Argonaut, Mr. Kaiser is in indirect possession of sole voting and investment power of the Common Units held by Argonaut and may also be deemed to beneficially own the 6,676,874 Common Units held by Argonaut. |