SEC Form 4 · accession 0001209191-16-157076
ASPEN AEROGELS INC · ASPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M. Gervis
Director
Period of report
Dec 28, 2016
Accepted (ET)
Dec 30, 2016 · 4:05 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 StockF2 | Dec 28, 2016 | P | 200 | $4.00 | A | 200 | I | Held by Robert Gervis 2014 Grantor Retained Annuity Trust |
| Common StockF2 | Dec 29, 2016 | P | 100 | $4.00 | A | 300 | I | Held by Robert Gervis 2014 Grantor Retained Annuity Trust |
| Common Stock | Dec 29, 2016 | P | 100 | $4.00 | A | 26,278 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This 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.
- F2Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.
- F3This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.