Form 4 for ASPN ASPEN AEROGELS INC

Accepted 2022-03-30 00:00:00 ET · period of report 2022-03-28 · accession 0000899243-22-012785 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
I	2022-03-30	2022-03-28	ASPN	KOCH INDUSTRIES INC	10%	P - Purchase	$27.90	+1.79M	1.79M	New	+$50.00M

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-03-28	P	A	1,791,986	$27.90	1,791,986	I See footnote	—	—	(F3) On March 28, 2022, the Issuer issued and sold to Wood River Capital, LLC ("Wood River") 1,791,986 Public Shares, at a price of $27.902 per share, for an aggregate purchase price of approximately $50.0 million, pursuant to the terms of the Securities Purchase Agreement dated February 15, 2022. (F4) Wood River is beneficially owned by SCC, SCC is beneficially owned by KIM, KIM is beneficially owned by KIG, KIG is beneficially owned by KIGH, and KIGH is beneficially owned by Koch Industries, in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the Public Shares beneficially owned by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.