Form 4 for ASPN ASPEN AEROGELS INC
Accepted 2024-05-29 00:00:00 ET · period of report 2024-05-28 · accession 0000950170-24-066183 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMT | 2024-05-29 | 2024-05-28+ | ASPN | Young Donald R | Pres, CEO, Dir | M - OptEx | $8.22 | +691.1K | 625.1K | New | +$5.68M |
| DMT | 2024-05-29 | 2024-05-28+ | ASPN | Young Donald R | Pres, CEO, Dir | S - Sale+OE | $29.29 | -433.7K | 622.9K | -41% | -$12.70M |
| DMT | 2024-05-29 | 2024-05-28+ | ASPN | Young Donald R | Pres, CEO, Dir | M - OptEx | $0.00 | -691.1K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-05-29 | M | A | 296,771 | $6.40 | 799,626 | D | — | — | |
| 2 | Common | Common Stock | 2024-05-28 | S | D | 26,286 | $29.72 | 502,855 | D | — | — | (F2) The shares of common stock were sold solely to satisfy the reporting person's tax withholding obligations related to the exercise of stock options to purchase 691,124 shares as reported herein. (F4) These transactions were executed in multiple trades at prices ranging from $29.59 to $30.00. 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. |
| 3 | Common | Common Stock | 2024-05-28 | S | D | 230,658 | $29.18 | 529,141 | D | — | — | (F2) The shares of common stock were sold solely to satisfy the reporting person's tax withholding obligations related to the exercise of stock options to purchase 691,124 shares as reported herein. (F3) These transactions were executed in multiple trades at prices ranging from $28.59 to $29.58. 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. |
| 4 | Common | Common Stock | 2024-05-28 | M | A | 26,577 | $6.40 | 759,799 | D | — | — | |
| 5 | Common | Common Stock | 2024-05-28 | M | A | 108,105 | $7.54 | 733,222 | D | — | — | |
| 6 | Common | Common Stock | 2024-05-28 | M | A | 259,671 | $10.78 | 625,117 | D | — | — | |
| 7 | Common | Common Stock | 2024-05-29 | S | D | 176,746 | $29.38 | 622,880 | D | — | — | (F2) The shares of common stock were sold solely to satisfy the reporting person's tax withholding obligations related to the exercise of stock options to purchase 691,124 shares as reported herein. (F5) These transactions were executed in multiple trades at prices ranging from $28.67 to $29.59. 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. (F6) Represents 418,398 shares of Common Stock and 47,532 Restricted Stock Units and 156,950 shares of Restricted Stock. |
| 8 | Derivative | Stock Options (Right to Buy) | 2024-05-29 | M | D | 296,771 | $0.00 | 0 | D | $6.40 · — to 2025-12-11 | 296,771 Common Stock | (F8) The reporting person previously disclosed the grant of an aggregate of 454,926 options on December 11, 2015, including 370,181 options subject to performance conditions. Of the performance-based options, 131,578 options were previously forfeited by the reporting person as a result of the applicable performance targets not being achieved. Accordingly, an aggregate of 323,348 options remained exercisable from the December 11, 2015 grant as of the date of this Form 4. (F7) This option is fully vested and exercisable. |
| 9 | Derivative | Stock Options (Right to Buy) | 2024-05-28 | M | D | 108,105 | $0.00 | 0 | D | $7.54 · — to 2025-03-11 | 108,105 Common Stock | (F7) This option is fully vested and exercisable. |
| 10 | Derivative | Stock Options (Right to Buy) | 2024-05-28 | M | D | 26,577 | $0.00 | 296,771 | D | $6.40 · — to 2025-12-11 | 26,577 Common Stock | (F8) The reporting person previously disclosed the grant of an aggregate of 454,926 options on December 11, 2015, including 370,181 options subject to performance conditions. Of the performance-based options, 131,578 options were previously forfeited by the reporting person as a result of the applicable performance targets not being achieved. Accordingly, an aggregate of 323,348 options remained exercisable from the December 11, 2015 grant as of the date of this Form 4. (F7) This option is fully vested and exercisable. |
| 11 | Derivative | Stock Options (Right to Buy) | 2024-05-28 | M | D | 259,671 | $0.00 | 0 | D | $10.78 · — to 2024-09-10 | 259,671 Common Stock | (F7) This option is fully vested and exercisable. |