SEC Form 4 · accession 0001209191-16-129906
ASPEN AEROGELS INC · ASPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rebecca Blalock
Director
Period of report
Jun 24, 2016
Accepted (ET)
Jun 28, 2016 · 4:52 pm EDT
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 | Jun 24, 2016 | A | 10,736 | $0.00 | A | 10,736 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $4.75 | Jun 24, 2016 | A | 14,799 | A | — | Jun 24, 2026 | Common Stock | 14,799 | 14,799 | D |
Explanation of responses
- F1The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 24, 2017 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2017.
- F2The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 24, 2017 or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2017.