Filing Details
- Accession Number:
- 0000950170-24-066183
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-05-29 20:27:49
- Reporting Period:
- 2024-05-28
- Accepted Time:
- 2024-05-29 20:27:49
- 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 |
|---|---|---|---|---|---|---|---|
| 1610257 | R Donald Young | C/O Aspen Aerogels, Inc., 30 Forbes Road, Bldg B Northborough MA 01532 | President And Ceo | No | No | 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 | 2024-05-28 | 259,671 | $10.78 | 625,117 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2024-05-28 | 108,105 | $7.54 | 733,222 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2024-05-28 | 26,577 | $6.40 | 759,799 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-05-28 | 230,658 | $29.18 | 529,141 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2024-05-28 | 26,286 | $29.72 | 502,855 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2024-05-29 | 296,771 | $6.40 | 799,626 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-05-29 | 176,746 | $29.38 | 622,880 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 Options (Right to Buy) | Disposition | 2024-05-28 | 259,671 | $0.00 | 259,671 | $10.78 |
| Common Stock | Stock Options (Right to Buy) | Disposition | 2024-05-28 | 108,105 | $0.00 | 108,105 | $7.54 |
| Common Stock | Stock Options (Right to Buy) | Disposition | 2024-05-28 | 26,577 | $0.00 | 26,577 | $6.40 |
| Common Stock | Stock Options (Right to Buy) | Disposition | 2024-05-29 | 296,771 | $0.00 | 296,771 | $6.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2024-09-10 | No | 4 | M | Direct | |
| 0 | 2025-03-11 | No | 4 | M | Direct | |
| 296,771 | 2025-12-11 | No | 4 | M | Direct | |
| 0 | 2025-12-11 | No | 4 | M | Direct |
Footnotes
- The transactions reported on this Form 4 were effected pursuant to a Rule 10B5-1 trading plan previously adopted by the reporting person on February 26, 2024.
- The shares of common stock were sold solely to satisfy the reporting person's tax withholding obligations related to the exercise of stock options to purchase 691,124 shares as reported herein.
- These transactions were executed in multiple trades at prices ranging from $28.59 to $29.58. 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.
- These transactions were executed in multiple trades at prices ranging from $29.59 to $30.00. 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.
- These transactions were executed in multiple trades at prices ranging from $28.67 to $29.59. 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 418,398 shares of Common Stock and 47,532 Restricted Stock Units and 156,950 shares of Restricted Stock.
- This option is fully vested and exercisable.
- The reporting person previously disclosed the grant of an aggregate of 454,926 options on December 11, 2015, including 370,181 options subject to performance conditions. Of the performance-based options, 131,578 options were previously forfeited by the reporting person as a result of the applicable performance targets not being achieved. Accordingly, an aggregate of 323,348 options remained exercisable from the December 11, 2015 grant as of the date of this Form 4.
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