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Aspen Technology Inc/DE – ‘8-K’ for 4/21/21

On:  Wednesday, 4/21/21, at 5:11pm ET   ·   For:  4/21/21   ·   Accession #:  929940-21-29   ·   File #:  1-34630

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  As Of               Filer                 Filing    For·On·As Docs:Size

 4/21/21  Aspen Technology Inc/DE           8-K:5,9     4/21/21   13:199K

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

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 2: EX-99.01    Miscellaneous Exhibit                               HTML     12K 
 9: R1          Cover Page                                          HTML     46K 
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10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
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13: ZIP         XBRL Zipped Folder -- 0000929940-21-000029-xbrl      Zip     15K 

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C:  C: 
 i 0000929940 i false00009299402021-04-212021-04-21



 FORM  i 8-K
Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):   i April 21, 2021
(Exact name of registrant as specified in its charter)
 i Delaware  i 001-34630  i 04-2739697
(State or other jurisdiction
of incorporation)
File Number)
 (IRS Employer
Identification No.)
 i 20 Crosby Drive, i Bedford, i MA  i 01730
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: ( i 781)  i 221-6400

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:

 i     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 i     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 i     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 i     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 ClassTrading SymbolName of Each Exchange on Which Registered
 i Common stock, $0.10 par value per share i AZPN i NASDAQ Global Select Market

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.  i 



Item 5.02.Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

The board of directors elected Jill D. Smith as a Class II director, effective April 21, 2021. Her term will expire at the 2022 Annual Meeting of Stockholders.

Upon the effective date of her election to the board, Ms. Smith will be granted stock options and Restricted Stock Units (RSUs) with a total value of $200,000 based on the closing price of our common stock on the NASDAQ on the trading day next preceding the effective date of her appointment.

Ms. Smith brings more than 20 years of significant international business leadership, most recently serving as President and Chief Operating Officer and director of Allied Minds plc, an intellectual property commercialization company for technology and life sciences.

On April 21, 2021, we issued a press release announcing her election to our board of directors. The full text of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K. The information in Exhibit 99.1 shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of Section 11 or 12(a)(2) of the Securities Act of 1933, nor shall it be deemed incorporated by reference in any filing made by us under the Securities Act of 1933 or the Securities Exchange Act of 1934, regardless of any general incorporation language in any such filing.

Item 9.01Financial Statements and Exhibits.

(d)                                 Exhibits.

The following exhibit shall be deemed to be furnished, and not filed:
Exhibit No. Description

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 hereunto duly authorized.
 Date: April 21, 2021By:/s/ Frederic G. Hammond
  Frederic G. Hammond
  Senior Vice President, General Counsel and Secretary

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:4/21/21None on these Dates
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Filing Submission 0000929940-21-000029   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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