Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-049624
Date:2021-08-02
Issuer: ASPEN AEROGELS INC (ASPN)
Original Submission Date:

Reporting Person:

WHITAKER CORBY C
C/O ASPEN AEROGELS, INC.
30 FORBES ROAD, BUILDING B NORTHBOROUGH, MA 01532

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-08-02 M 4,258 a $7.54 114,438 direct
COMMON STOCK 2021-08-02 M 30,000 a $4.60 144,438 direct
COMMON STOCK 2021-08-02 S 34,258 d $36.27 110,180 direct
COMMON STOCK 2021-08-03 M 8,000 a $4.60 118,180 direct
COMMON STOCK 2021-08-03 S 8,000 d $37.78 110,180 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 7.54 2021-08-02 deemed execution date M 4,258 (d) 2025-03-11 common stock 4,258 $7.54 0 direct
STOCK OPTION (RIGHT TO BUY) 4.6 2021-08-02 deemed execution date M 30,000 (d) 2028-02-28 common stock 30,000 $4.60 22,735 direct
STOCK OPTION (RIGHT TO BUY) 4.6 2021-08-03 deemed execution date M 8,000 (d) 2028-02-28 common stock 11,657 $4.60 14,735 direct
Footnotes
IDfootnote
f1 represents 95,604 shares of common stock and 18,834 restricted stock units.
f2 represents 125,604 shares of common stock and 18,834 restricted stock units.
f3 average price with actual price ranging from $35.7600 and $37.05. 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.
f4 represents 91,346 shares of common stock and 18,834 restricted stock units.
f5 represents 99,346 shares of common stock and 18,834 restricted stock units.
f6 average price with actual price ranging from $37.6200 and $37.9950. 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.
f7 this option is fully vested and exercisable.
WhaleWisdom Logo

Elevate your investments