Filing Details
- Accession Number:
- 0001209191-21-063937
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-10 18:10:35
- Reporting Period:
- 2021-11-08
- Accepted Time:
- 2021-11-10 18:10:35
- 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 | 2021-11-08 | 14,735 | $4.60 | 124,915 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-08 | 6,617 | $57.67 | 118,298 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-11-08 | 8,118 | $56.99 | 110,180 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-11-09 | 10,000 | $3.63 | 120,180 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-11-09 | 10,000 | $58.37 | 110,180 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2021-11-08 | 14,735 | $0.00 | 14,735 | $4.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-11-09 | 10,000 | $0.00 | 10,000 | $3.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2028-02-28 | No | 4 | M | Direct | |
| 55,159 | 2029-02-27 | No | 4 | M | Direct |
Footnotes
- Represents 106,081 shares of Common Stock and 18,834 Restricted Stock Units.
- The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for thetransactions reported was $57.31 to $58.28 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- Represents 99,464 shares of Common Stock and 18,834 Restricted Stock Units.
- The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for thetransactions reported was $56.30 to $57.30 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staffof the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- Represents 91,346 shares of Common Stock and 18,834 Restricted Stock Units.
- Represents 101,346 shares of Common Stock and 18,834 Restricted Stock Units.
- The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $58.10 to $58.88 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- These options are fully vested and exercisable.
- Represents fully vested and exercisable option to purchase 33,439 shares and option to purchase 21,720 shares which will vest on February 27, 2022.
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