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Aspen Aerogels Inc. – ‘POSASR’ on 3/16/23 – ‘EX-FILING FEES’

On:  Thursday, 3/16/23, at 4:06pm ET   ·   Effective:  3/16/23   ·   Accession #:  1193125-23-72569   ·   File #:  333-263622

27 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/16/23  Aspen Aerogels Inc.               POSASR      3/16/23    4:815K                                   Donnelley … Solutions/FA

Post-Effective Amendment of an Automatic Shelf Registration Statement   —   Form S-3/F-3ASR

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: POSASR      Post-Effective Amendment of an Automatic Shelf      HTML    481K 
                Registration Statement                                           
 2: EX-5.1      Opinion of Counsel re: Legality                     HTML     37K 
 3: EX-23.1     Consent of Expert or Counsel                        HTML      5K 
 4: EX-FILING FEES  Filing Fees                                     HTML     50K 


‘EX-FILING FEES’   —   Filing Fees


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  EX-FILING FEES  

Exhibit 107

Calculation of Filing Fee Tables

S-3

(Form Type)

Aspen Aerogels, Inc.

(Exact Name of Registrant as Specified in its Charter)

Table 1: Newly Registered and Carry Forward Securities

 

   

Security Type

 

Security
Class Title

 

Fee
Calculation
or Carry
Forward
Rule

 

Amount
Registered

 

Proposed
Maximum
Offering
Price Per
Unit

 

Maximum
Aggregate
Offering Price

 

Fee Rate

 

Amount of
Registration
Fee

 

Carry
Forward
Form
Type

 

Carry
Forward File
Number

 

Carry
Forward
Initial
Effective
Date

 

Filing Fee
Paid In
Connection
with Unsold
Securities
to be
Carried
Forward

Newly Registered Securities
Fees to Be Paid   Equity   Common Stock, $0.00001 par value   457(o)   (1)   (2)   (2)     $ —        
  Equity   Preferred Stock, $0.00001 par value   457(o)   (1)   (2)   (2)     $ —        
  Debt   Debt Securities   457(o)   (1)   (2)   (2)     $ —        
  Equity   Warrants   457(o)   (1)   (2)   (2)     $ —        
  Equity   Rights   457(o)   (1)   (2)   (2)     $ —        
  Equity   Units   457(o)   (1)   (2)   (2)     $ —        
  Unallocated (Universal) Shelf   (1)   457(o)   $175,618,236.3   (2)   $175,618,236.3   $0.00011020   $19,353.13        
Fees to be Paid   Equity   Common Stock, $0.00001 par value   457(o)   74,381,763.70     $74,381,763.70   $0.00011020   $8,196.87        
  Total Registration Fees       $250,000,000   N/A   $250,000,000     $27,550        
Carry Forward Securities
  Equity   Common Stock, $0.00001 par value     415(a)(6)   (3)   $74,381,763.70   $0.0000927     S-3ASR   333-263622   March 16, 2022   $6,895.19
  Total Offering Amounts      $250,000,000     $27,550.00        
  Total Fees Previously Paid                 
  Total Fee Offsets          $6,895.19        
  Net Fee Due          $20,654.81        

 

(1)

There are being registered hereunder such indeterminate number of shares of common stock or preferred stock, such indeterminate principal amount of debt securities, such indeterminate number of warrants and rights to purchase common stock, preferred stock or debt securities, and such indeterminate number of units, as shall have an aggregate initial offering price not to exceed $250,000,000. If any debt securities are issued at an original issue discount, then


 

the offering price of such debt securities shall be in such greater principal amount as shall result in an aggregate initial offering price not to exceed $250,000,000, less the aggregate dollar amount of all securities previously issued hereunder. Any securities registered hereunder may be sold separately or as units with other securities registered hereunder. The proposed maximum initial offering price per unit will be determined, from time to time, by the registrant in connection with the issuance by the registrant of the securities registered hereunder. The securities registered also include such indeterminate number of shares of common stock or preferred stock and amount of debt securities as may be issued upon conversion of or exchange for preferred stock or debt securities that provide for conversion or exchange, upon exercise of warrants or rights or pursuant to the anti-dilution provisions of any such securities. In addition, pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), the shares being registered hereunder include such indeterminate number of shares of common stock or preferred stock as may be issuable with respect to the shares being registered hereunder as a result of stock splits, stock dividends or similar transactions.

(2)

The proposed maximum aggregate offering price per class of security will be determined from time to time by the registrant in connection with the issuance by the registrant of the securities registered hereunder and is not specified as to each class of security pursuant to General Instruction II.D. of Form S-3 under the Securities Act.

(3)

Pursuant to 415(a)(6) under the Securities Act, the securities registered pursuant to this registration statement include unsold securities previously registered by the registrant on the registrant’s automatic shelf registration statement on Form S-3ASR (File No. 333-263622), originally filed on March 16, 2022 (the “Prior Registration Statement”). The Prior Registration Statement registered the offer and sale of up to $150,000,000 in shares of the registrant’s common stock that may be issued and sold under a certain sales agreement with Cowen and Company, LLC and Piper Sandler & Co. The registrant previously paid a fee of $13,905.00 related to such $150,000,000 in shares of common stock. Of such shares of common stock, $74,381,763.70 remain unsold (the “Unsold Shelf Securities”). The registrant has determined to include in this registration statement all of the $74,381,763.70 Unsold Shelf Securities. Pursuant to Rule 457(b) under the Securities Act, the filing fee of $6,895.19 relating to $74,381,763.70 of the Unsold Shelf Securities under the Prior Registration Statement, which was paid under the Prior Registration Statement, will continue to be applied to the registrant’s total registration fee. Accordingly, the registrant is paying the registration fee due less the $6,895.19 that was previously paid, or $20,654.81.

Table 2: Fee Offset Claims and Sources

 

   

Registrant
or Filer
Name

 

Form or
Filing

Type

 

File

Number

 

Initial

Filing

Date

 

Filing Date

 

Fee Offset
Claimed

 

Security
Type
Associated
with Fee
Offset
Claimed

 

Security
Title
Associated
with Fee
Offset
Claimed

 

Unsold
Securities
Associated
with Fee
Offset
Claimed

 

Unsold Aggregate
Offering Amount
Associated with Fee
Offset Claimed

 

Fee Paid with

Fee Offset

Source

Rule 457(b) and 0-11(a)(2)
Fee Offset Claims                      
Fee Offset Sources                      
Rule 457(p)
Fee Offset Claims   Aspen Aerogels, Inc.   Form S-3ASR   333-263622   March 16, 2022   —     $6,895.19   (3)   (3)   (3)   $74,381,763.70(3)   —  
Fee Offset Sources   Aspen Aerogels, Inc.   Form S-3ASR   333-263622   —     March 16, 2022   —     —     —     —     —     $13,905.00(3)


Table 3: Combined Prospectuses

 

Security Type

 

Security
Class Title

 

Amount of
Securities
Previously
Registered

 

Maximum
Aggregate
Offering Price
of Securities
Previously
Registered

 

Form

Type

 

File

Number

 

Initial

Effective

Date

          —                    —                    —                    —                    —                    —         

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘POSASR’ Filing    Date    Other Filings
Filed on / Effective on:3/16/23
3/16/228-K,  S-3ASR
 List all Filings 


27 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/05/23  Aspen Aerogels Inc.               8-K:5       1/01/23   10:144K                                   Donnelley … Solutions/FA
11/30/22  Aspen Aerogels Inc.               8-K:1,8,9  11/29/22   12:469K                                   Donnelley … Solutions/FA
11/29/22  Aspen Aerogels Inc.               8-K:1,2,9  11/28/22   13:541K                                   Donnelley … Solutions/FA
11/07/22  Aspen Aerogels Inc.               10-Q        9/30/22   76:10M                                    ActiveDisclosure/FA
11/02/22  Aspen Aerogels Inc.               8-K:5,9    11/02/22   11:180K                                   ActiveDisclosure/FA
 8/04/22  Aspen Aerogels Inc.               10-Q        6/30/22   76:10M                                    ActiveDisclosure/FA
 8/02/22  Aspen Aerogels Inc.               8-K:5,9     8/02/22   11:184K                                   ActiveDisclosure/FA
 6/24/22  Aspen Aerogels Inc.               8-K:1       6/23/22   10:154K                                   ActiveDisclosure/FA
 6/06/22  Aspen Aerogels Inc.               8-K:5       6/02/22   10:157K                                   Donnelley … Solutions/FA
 6/03/22  Aspen Aerogels Inc.               8-K:5       6/02/22   10:147K                                   Donnelley … Solutions/FA
 5/10/22  Aspen Aerogels Inc.               10-Q        3/31/22   84:11M                                    ActiveDisclosure/FA
 4/29/22  Aspen Aerogels Inc.               8-K:1       4/28/22   10:154K                                   ActiveDisclosure/FA
 4/21/22  Aspen Aerogels Inc.               DEF 14A     6/02/22    1:1.5M                                   Donnelley … Solutions/FA
 4/01/22  Aspen Aerogels Inc.               8-K:1,5     3/29/22   10:148K                                   Donnelley … Solutions/FA
 3/29/22  Aspen Aerogels Inc.               8-K:8       3/28/22   10:137K                                   Donnelley … Solutions/FA
 3/16/22  Aspen Aerogels Inc.               8-K:1,9     3/16/22   12:449K                                   Donnelley … Solutions/FA
 3/16/22  Aspen Aerogels Inc.               S-3ASR      3/16/22    5:871K                                   Donnelley … Solutions/FA
 3/01/22  Aspen Aerogels Inc.               10-K       12/31/21   98:14M                                    ActiveDisclosure/FA
 2/18/22  Aspen Aerogels Inc.               8-K:1,8,9   2/17/22   11:195K                                   ActiveDisclosure/FA
 2/17/22  Aspen Aerogels Inc.               8-K:2,7,9   2/17/22   11:608K                                   ActiveDisclosure/FA
 1/13/22  Aspen Aerogels Inc.               8-K:5,7,9   1/13/22   11:193K                                   ActiveDisclosure/FA
 1/04/22  Aspen Aerogels Inc.               8-K:5       1/04/22   10:167K                                   ActiveDisclosure/FA
 1/03/22  Aspen Aerogels Inc.               8-K:1      12/27/21   10:154K                                   ActiveDisclosure/FA
 8/31/18  Aspen Aerogels Inc.               S-3                    5:1.5M                                   Donnelley … Solutions/FA
 5/08/17  G1 Therapeutics, Inc.             S-1/A                 16:5.2M                                   Donnelley … Solutions/FA
 6/19/14  Aspen Aerogels Inc.               8-K:5,8,9   6/18/14    5:157K                                   Donnelley … Solutions/FA
 6/06/14  Aspen Aerogels Inc.               8-A12B                 1:13K                                    Donnelley … Solutions/FA
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Filing Submission 0001193125-23-072569   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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