Accession Number: | 0001209191-21-049624 |
Date: | 2021-08-02 |
Issuer: | ASPEN AEROGELS INC (ASPN) |
Original Submission Date: |
WHITAKER CORBY C
C/O ASPEN AEROGELS, INC.
30 FORBES ROAD, BUILDING B
NORTHBOROUGH, MA 01532
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |