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ASPEN AEROGELS INC — Director's Dealing 2020
Nov 12, 2020
32697_dirs_2020-11-12_c80d6fa5-43d6-4ef7-a5e1-3abcc61462b4.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ASPEN AEROGELS INC (ASPN)
CIK: 0001145986
Period of Report: 2020-11-09
Reporting Person: Whitaker Corby C (SVP, Sales and Marketing)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-11-09 | Common Stock | M | 16462 | $3.99 | Acquired | 131913 | Direct |
| 2020-11-09 | Common Stock | S | 16462 | $11.78 | Disposed | 115451 | Direct |
| 2020-11-10 | Common Stock | M | 15608 | $3.99 | Acquired | 131059 | Direct |
| 2020-11-10 | Common Stock | S | 15608 | $11.70 | Disposed | 115451 | Direct |
| 2020-11-11 | Common Stock | M | 2850 | $3.99 | Acquired | 118301 | Direct |
| 2020-11-11 | Common Stock | S | 2850 | $11.70 | Disposed | 115451 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-11-09 | Stock Option (Right to Buy) | $3.99 | M | 16462 | Disposed | 2026-03-01 | Common Stock (16462) | Direct |
| 2020-11-10 | Stock Option (Right to Buy) | $3.99 | M | 15608 | Disposed | 2026-03-01 | Common Stock (15608) | Direct |
| 2020-11-11 | Stock Option (Right to Buy) | $3.99 | M | 2850 | Disposed | 2026-03-01 | Common Stock (2850) | Direct |
Footnotes
F1: Represents 94,026 shares of Common Stock and 37,887 Restricted Stock Units.
F2: Average price with actual price ranging from $11.70 and $12.21.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.
F3: Represents 77,564 shares of Common Stock and 37,887 Restricted Stock Units.
F4: Represents 93,172 shares of Common Stock and 37,887 Restricted Stock Units.
F5: Average price with actual price ranging from $11.70 and $11.73. 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 80,414 shares of Common Stock and 37,887 Restricted Stock Units.
F7: This option is fully vested and exercisable.