Filing Details

Accession Number:
0001104659-11-031203
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-05-24 19:35:51
Reporting Period:
2011-05-20
Filing Date:
2011-05-24
Accepted Time:
2011-05-24 18:35:51
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1167178 A123 Systems Inc. AONE Miscellaneous Electrical Machinery, Equipment & Supplies (3690) 043583876
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1373486 Joseph Robert Johnson C/O A123 Systems, Inc.
200 West Street
Waltham MA 02451
Vp And Gm, Energy Sol'ns Group No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-05-20 25,000 $0.00 44,783 No 4 A Direct
Common Stock Disposition 2011-05-23 4,945 $5.52 39,838 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Acquisiton 2011-05-20 37,000 $0.00 37,000 $5.66
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,000 2021-05-20 No 4 A Direct
Footnotes
  1. 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.
  2. 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.
  3. Includes 39,838 RSUs.
  4. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
  5. These transactions were executed in multiple trades in prices ranging from $5.50 to $5.555. 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.
  6. 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.