Filing Details

Accession Number:
0001209191-17-028249
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-04-26 18:08:17
Reporting Period:
2017-04-25
Filing Date:
2017-04-26
Accepted Time:
2017-04-26 18:08:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1145986 Aspen Aerogels Inc ASPN Wholesale-Lumber & Other Construction Materials (5030) 043559972
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1472399 M. Robert Gervis C/O Aspen Aerogels, Inc.
30 Forbes Road, Building B
Northborough MA 01532
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-04-25 1,100 $4.00 69,192 No 4 P Indirect Held by Robert Gervis 2014 Grantor Retained Annuity Trust
Common Stock Acquisiton 2017-04-25 800 $4.00 95,182 No 4 P Direct
Common Stock Acquisiton 2017-04-26 2,000 $4.00 71,192 No 4 P Indirect Held by Robert Gervis 2014 Grantor Retained Annuity Trust
Common Stock Acquisiton 2017-04-26 2,405 $4.00 97,587 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by Robert Gervis 2014 Grantor Retained Annuity Trust
No 4 P Direct
No 4 P Indirect Held by Robert Gervis 2014 Grantor Retained Annuity Trust
No 4 P Direct
Footnotes
  1. This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the Robert Gervis 2014 Grantor Retained Annuity Trust adopted on November 18, 2016.
  2. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.999 to $4.00, inclusive. 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 purchased at each separate price.
  3. Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.
  4. The purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.
  5. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.99 to $4.00, inclusive. 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 purchased at each separate price.
  6. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.985 to $4.00, inclusive. 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 purchased at each separate price.
  7. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.98 to $4.00, inclusive. 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 purchased at each separate price.