Form 4 for ASPN ASPEN AEROGELS INC
Accepted 2021-11-10 00:00:00 ET · period of report 2021-11-08 · accession 0001209191-21-063937 · 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 | 2021-11-10 | 2021-11-08+ | ASPN | Whitaker Corby C | SVP, Sales, Marketing | M - OptEx | $4.21 | +24.7K | 120.2K | +26% | +$104.1K |
| DM | 2021-11-10 | 2021-11-08+ | ASPN | Whitaker Corby C | SVP, Sales, Marketing | S - Sale+OE | $57.73 | -24.7K | 118.3K | -17% | -$1.43M |
| DM | 2021-11-10 | 2021-11-08+ | ASPN | Whitaker Corby C | SVP, Sales, Marketing | M - OptEx | $0.00 | -24.7K | 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 | 2021-11-08 | M | A | 14,735 | $4.60 | 124,915 | D | — | — | (F1) Represents 106,081 shares of Common Stock and 18,834 Restricted Stock Units. |
| 2 | Common | Common Stock | 2021-11-09 | S | D | 10,000 | $58.37 | 110,180 | D | — | — | (F7) The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $58.10 to $58.88 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. (F5) Represents 91,346 shares of Common Stock and 18,834 Restricted Stock Units. |
| 3 | Common | Common Stock | 2021-11-09 | M | A | 10,000 | $3.63 | 120,180 | D | — | — | (F6) Represents 101,346 shares of Common Stock and 18,834 Restricted Stock Units. |
| 4 | Common | Common Stock | 2021-11-08 | S | D | 8,118 | $56.99 | 110,180 | D | — | — | (F4) The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $56.30 to $57.30 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. (F5) Represents 91,346 shares of Common Stock and 18,834 Restricted Stock Units. |
| 5 | Common | Common Stock | 2021-11-08 | S | D | 6,617 | $57.67 | 118,298 | D | — | — | (F2) The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $57.31 to $58.28 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. (F3) Represents 99,464 shares of Common Stock and 18,834 Restricted Stock Units. |
| 6 | Derivative | Stock Option (Right to Buy) | 2021-11-09 | M | D | 10,000 | $0.00 | 55,159 | D | $3.63 · — to 2029-02-27 | 10,000 Common Stock | (F9) Represents fully vested and exercisable option to purchase 33,439 shares and option to purchase 21,720 shares which will vest on February 27, 2022. (F8) These options are fully vested and exercisable. |
| 7 | Derivative | Stock Option (Right to Buy) | 2021-11-08 | M | D | 14,735 | $0.00 | 0 | D | $4.60 · — to 2028-02-28 | 14,735 Common Stock | (F8) These options are fully vested and exercisable. |