SEC Form 4 · accession 0001209191-16-141306
ASPEN AEROGELS INC · ASPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John F Fairbanks
Officer — VP, CFO and Treasurer
Period of report
Sep 10, 2016
Accepted (ET)
Sep 13, 2016 · 8:05 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,F2 | Sep 10, 2016 | F | 2,019 | $4.70 | D | 71,616 | 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")
- F2Represents 13,664 shares of Common Stock and 57,952 RSUs.