SEC Form 4/A · accession 0001209191-16-105768
ASPEN AEROGELS INC · ASPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Corby C Whitaker
Officer — SVP, Sales and Marketing
Period of report
Sep 10, 2015
Accepted (ET)
Mar 3, 2016 · 7:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001145986
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Sep 10, 2015 | F | 1,347 | $8.29 | D | 31,319 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units ("RSUs")
- F2This amendment is filed to solely to correct the original filing dated 9/14/2015 in which the securities reported as withheld by Registrant to satisfy statutory minimum tax obligations were marked inadvertently as acquired instead of disposed. All other information in the original filing remain correct.
- F3Represents 4,297 shares of Common Stock and 27,022 RSUs