Form 4 for ASPN ASPEN AEROGELS INC
Accepted 2021-12-01 00:00:00 ET · period of report 2021-11-30 · accession 0001209191-21-067275 · 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 | 2021-12-01 | 2021-11-30 | ASPN | Conte Kelley | VP, Human Resources | S - Sale+OE | $56.02 | -20.0K | 62.1K | -24% | -$1.12M |
| D | 2021-12-01 | 2021-11-30 | ASPN | Conte Kelley | VP, Human Resources | M - OptEx | $5.82 | +20.0K | 82.1K | +32% | +$116.4K |
| D | 2021-12-01 | 2021-11-30 | ASPN | Conte Kelley | VP, Human Resources | M - OptEx | $0.00 | -20.0K | 4,609 | -81% | $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 | 2021-11-30 | S | D | 4,503 | $57.04 | 64,455 | D | — | — | (F6) 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 $56.48 to $57.48 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. (F7) Represents 45,851 shares of Common Stock and 18,604 Restricted Stock Units. |
| 2 | Common | Common Stock | 2021-11-30 | S | D | 5,126 | $55.83 | 68,958 | 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 $55.40 to $56.29 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 50,354 shares of Common Stock and 18,604 Restricted Stock Units. |
| 3 | Common | Common Stock | 2021-11-30 | S | D | 8,013 | $54.95 | 74,084 | 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 $54.34 to $55.34 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 55,480 shares of Common Stock and 18,604 Restricted Stock Units. |
| 4 | Common | Common Stock | 2021-11-30 | M | A | 20,000 | $5.82 | 82,097 | D | — | — | (F1) Represents 63,493 shares of Common Stock and 18,604 Restricted Stock Units. |
| 5 | Common | Common Stock | 2021-11-30 | S | D | 2,358 | $58.09 | 62,097 | D | — | — | (F8) 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 $57.50 to $58.49 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. (F9) Represents 43,493 shares of Common Stock and 18,604 Restricted Stock Units. |
| 6 | Derivative | Stock Option (Right-to-Buy) | 2021-11-30 | M | D | 20,000 | $0.00 | 4,609 | D | $5.82 · — to 2025-11-11 | 20,000 Common Stock | (F10) These options are fully vested and exercisable. |