Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-034701
Date:2022-06-02
Issuer: ASPEN AEROGELS INC (ASPN)
Original Submission Date:

Reporting Person:

GERVIS ROBERT M.
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 2022-06-02 A 2,699 a $0.00 355,182 direct
COMMON STOCK 2022-06-02 0 $0.00 72,491 indirect f2
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) 18.89 2022-06-02 deemed execution date A 3,178 (a) 2032-06-02 common stock 3,178 $18.89 3,178 direct
Footnotes
IDfootnote
f1 the reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the issuer's non-employee director compensation policy. these restricted shares will vest on the earlier of (a) june 2, 2023, or (b) the day prior to the issuer's annual meeting of stockholders to be held in 2023.
f2 represents shares held by the robert gervis 2014 grantor retained annuity trust, of which the reporting person is a beneficiary and his spouse is trustee.
f3 the reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the issuer's non-employee director compensation policy. the options will vest on the earlier of (a) june 2, 2023, or (b) the day prior to the issuer's annual meeting of stockholders to be held in 2023.

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