Form 4 for ASPN ASPEN AEROGELS INC
Accepted 2021-08-04 00:00:00 ET · period of report 2021-08-02 · accession 0001209191-21-049624 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-04 | 2021-08-02+ | ASPN | Whitaker Corby C | SVP, Sales, Marketing | M - OptEx | $4.90 | +42.3K | 118.2K | +56% | +$206.9K |
| DM | 2021-08-04 | 2021-08-02+ | ASPN | Whitaker Corby C | SVP, Sales, Marketing | S - Sale+OE | $36.56 | -42.3K | 110.2K | -28% | -$1.54M |
| DM | 2021-08-04 | 2021-08-02+ | ASPN | Whitaker Corby C | SVP, Sales, Marketing | M - OptEx | $0.00 | -42.3K | 14.7K | -74% | $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 | 2021-08-02 | M | A | 30,000 | $4.60 | 144,438 | D | — | — | (F2) Represents 125,604 shares of Common Stock and 18,834 Restricted Stock Units. |
| 2 | Common | Common Stock | 2021-08-02 | M | A | 4,258 | $7.54 | 114,438 | D | — | — | (F1) Represents 95,604 shares of Common Stock and 18,834 Restricted Stock Units. |
| 3 | Common | Common Stock | 2021-08-02 | S | D | 34,258 | $36.27 | 110,180 | D | — | — | (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. |
| 4 | Common | Common Stock | 2021-08-03 | S | D | 8,000 | $37.78 | 110,180 | D | — | — | (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. (F4) Represents 91,346 shares of Common Stock and 18,834 Restricted Stock Units. |
| 5 | Common | Common Stock | 2021-08-03 | M | A | 8,000 | $4.60 | 118,180 | D | — | — | (F5) Represents 99,346 shares of Common Stock and 18,834 Restricted Stock Units. |
| 6 | Derivative | Stock Option (Right to Buy) | 2021-08-02 | M | D | 4,258 | $0.00 | 0 | D | $7.54 · — to 2025-03-11 | 4,258 Common Stock | (F7) This option is fully vested and exercisable. |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-08-02 | M | D | 30,000 | $0.00 | 22,735 | D | $4.60 · — to 2028-02-28 | 30,000 Common Stock | (F7) This option is fully vested and exercisable. |
| 8 | Derivative | Stock Option (Right to Buy) | 2021-08-03 | M | D | 8,000 | $0.00 | 14,735 | D | $4.60 · — to 2028-02-28 | 11,657 Common Stock | (F7) This option is fully vested and exercisable. |