Filing Details
- Accession Number:
- 0001209191-20-057973
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-12 16:39:15
- Reporting Period:
- 2020-11-09
- Accepted Time:
- 2020-11-12 16:39:15
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1145986 | Aspen Aerogels Inc | ASPN | Wholesale-Lumber & Other Construction Materials (5030) | 043559972 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1610273 | C Corby Whitaker | C/O Aspen Aerogels, Inc. 30 Forbes Road, Building B Northborough MA 01532 | Svp, Sales And Marketing | 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 | 2020-11-09 | 16,462 | $3.99 | 131,913 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-09 | 16,462 | $11.78 | 115,451 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-11-10 | 15,608 | $3.99 | 131,059 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-10 | 15,608 | $11.70 | 115,451 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-11-11 | 2,850 | $3.99 | 118,301 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-11-11 | 2,850 | $11.70 | 115,451 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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) | Disposition | 2020-11-09 | 16,462 | $0.00 | 16,462 | $3.99 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-10 | 15,608 | $0.00 | 15,608 | $3.99 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-11-11 | 2,850 | $0.00 | 2,850 | $3.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 37,390 | 2026-03-01 | No | 4 | M | Direct | |
| 21,782 | 2026-03-01 | No | 4 | M | Direct | |
| 18,932 | 2026-03-01 | No | 4 | M | Direct |
Footnotes
- Represents 94,026 shares of Common Stock and 37,887 Restricted Stock Units.
- Average price with actual price ranging from $11.70 and $12.21.The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security, holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.
- Represents 77,564 shares of Common Stock and 37,887 Restricted Stock Units.
- Represents 93,172 shares of Common Stock and 37,887 Restricted Stock Units.
- Average price with actual price ranging from $11.70 and $11.73. The reporting person will provide to the staff of the Securities and Exchange Commission, the issuer, or any security, holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.
- Represents 80,414 shares of Common Stock and 37,887 Restricted Stock Units.
- This option is fully vested and exercisable.
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