0001209191-21-062858.txt : 20211103 0001209191-21-062858.hdr.sgml : 20211103 20211103212859 ACCESSION NUMBER: 0001209191-21-062858 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211101 FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Young Donald R CENTRAL INDEX KEY: 0001610257 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 211377665 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 STATE OF INCORPORATION: DE 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 2021-11-01 0 0001145986 ASPEN AEROGELS INC ASPN 0001610257 Young Donald R C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH MA 01532 1 1 0 0 President and CEO Common Stock 2021-11-01 4 S 0 3400 54.92 D 703730 D Common Stock 2021-11-01 4 S 0 5760 53.87 D 697970 D Common Stock 2021-11-01 4 S 0 22241 53.05 D 675729 D Common Stock 2021-11-01 4 S 0 4702 52.17 D 671027 D Common Stock 2021-11-02 4 S 0 31878 52.43 D 639149 D Common Stock 2021-11-02 4 S 0 4225 51.83 D 634924 D Common Stock 2021-11-03 4 S 0 18703 51.10 D 616221 D Common Stock 2021-11-03 4 S 0 17399 51.92 D 598822 D The sales of shares were effected pursuant to a Rule 10b5-1 trading plan of the Reporting Person adopted on August 9, 2021. 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 $54.54 to $55.54 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 187,790 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $53.54 to $54.53 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 182,030 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $52.54 to $53.54 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 159,789 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $51.73 to $52.53 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 155,087 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $51.98 to $52.98 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 123,209 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $51.44 to $51.98 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 118,984 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $50.52 to $51.50 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 100,281 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. 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 $51.51 to $52.40 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 82,882 shares of common stock, 54,324 shares of restricted stock units and 461,616 shares of restricted common stock. /s/ Poongunran Muthukumaran, Attorney-in-Fact 2021-11-03