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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 2/27/20 |
| Not Subject to Section 16: 0 |
| Issuer: |
| Issuer CIK: 1145986 |
| Issuer Name: ASPEN AEROGELS INC |
| Issuer Trading Symbol: ASPN |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1094147 |
| | Owner Name: FAIRBANKS JOHN F |
| Reporting Owner Address: |
| | Owner Street 1: C/O ASPEN AEROGELS, INC. |
| | Owner Street 2: 30 FORBES ROAD, BUILDING B |
| | Owner City: NORTHBOROUGH |
| | Owner State: MA |
| | Owner ZIP Code: 01532 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? Yes |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| | Officer Title: VP, CFO and Treasurer |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 2/27/20 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 4,551 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 7.92 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 155,803 |
| Footnote ID: F2 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 2/28/20 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 6,698 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 7.95 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 149,105 |
| Footnote ID: F3 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSU"). |
| Footnote - F2: Represents 85,088 shares of Common Stock and 70,715 RSUs. |
| Footnote - F3: Represents 101,336 shares of Common Stock and 47,769 RSUs. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/ Poongunran Muthukumaran, Attorney-in-Fact |
| Signature Date: 3/2/20 |
