0001209191-20-059201.txt : 20201118 0001209191-20-059201.hdr.sgml : 20201118 20201118181728 ACCESSION NUMBER: 0001209191-20-059201 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201116 FILED AS OF DATE: 20201118 DATE AS OF CHANGE: 20201118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitaker Corby C CENTRAL INDEX KEY: 0001610273 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 201326231 MAIL ADDRESS: STREET 1: C/O ASPEN AEROGELS, INC. STREET 2: 30 FORBES ROAD, BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASPEN AEROGELS INC CENTRAL INDEX KEY: 0001145986 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-LUMBER & OTHER CONSTRUCTION MATERIALS [5030] IRS NUMBER: 043559972 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30 FORBES ROAD STREET 2: BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 BUSINESS PHONE: 5086911111 MAIL ADDRESS: STREET 1: 30 FORBES ROAD STREET 2: BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-11-16 0 0001145986 ASPEN AEROGELS INC ASPN 0001610273 Whitaker Corby C C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH MA 01532 0 1 0 0 SVP, Sales and Marketing Common Stock 2020-11-16 4 M 0 9445 3.99 A 123396 D Common Stock 2020-11-16 4 S 0 9445 11.43 D 113951 D Common Stock 2020-11-16 4 M 0 8938 4.14 A 122889 D Common Stock 2020-11-16 4 S 0 8938 11.41 D 113951 D Common Stock 2020-11-17 4 M 0 24633 4.14 A 138584 D Common Stock 2020-11-17 4 S 0 24633 11.40 D 113951 D Stock Option (Right to Buy) 3.99 2020-11-16 4 M 0 9445 0.00 D 2026-03-01 Common Stock 9445 0 D Stock Option (Right to Buy) 4.14 2020-11-16 4 M 0 8938 0.00 D 2027-02-28 Common Stock 8938 43303 D Stock Option (Right to Buy) 4.14 2020-11-17 4 M 0 24633 0.00 D 2027-02-28 Common Stock 24633 18670 D Represents 85,509 shares of Common Stock and 37,887 Restricted Stock Units. Average price with actual price ranging from $11.40 and $11.49. 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 76,064 shares of Common Stock and 37,887 Restricted Stock Units. Represents 85,002 shares of Common Stock and 37,887 Restricted Stock Units. Average price with actual price ranging from $11.40 and $11.45. 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 100,697 shares of Common Stock and 37,887 Restricted Stock Units. Average price with actual price ranging from $11.40 and $11.44. 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 This option is fully vested and exercisable. /s/ Poongunran Muthukumaran, Attorney-in-Fact 2020-11-18