SEC Form 4 · accession 0001209191-19-015583
ASPEN AEROGELS INC · ASPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Alan Ball
Officer — VP, Operations
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 4:19 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 | Feb 28, 2019 | F | 5,512 | $3.46 | D | 98,922 | D | |
| Common StokckF1,F3 | Mar 1, 2019 | F | 2,234 | $3.52 | D | 96,688 | 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
- F2Represents 42,563 shares of Common Stock and 56,359 Restricted Stock Units.
- F3Represents 46,595 shares of Common Stock and 50,093 Restricted Stock Units.