SEC Form 4 · accession 0001209191-17-026789
ASPEN AEROGELS INC · ASPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert M. Gervis
Director
Period of report
Apr 11, 2017
Accepted (ET)
Apr 13, 2017 · 8:01 am 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 StockF2,F3 | Apr 11, 2017 | P | 300 | $4.00 | A | 30,116 | I | Held by Robert Gervis 2014 Grantor Retained Annuity Trust |
| Common StockF2 | Apr 11, 2017 | P | 200 | $3.99 | A | 55,886 | D | |
| Common StockF5,F3 | Apr 12, 2017 | P | 2,500 | $4.00 | A | 32,616 | I | Held by Robert Gervis 2014 Grantor Retained Annuity Trust |
| Common StockF5 | Apr 12, 2017 | P | 2,401 | $4.00 | A | 58,287 | 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.
- F2The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.989 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.
- F3Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee.
- F4This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016.
- F5The 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.