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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 8/2/22 |
| 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: 1188600 |
| | Owner Name: SWEETNAM JAMES E |
| Reporting Owner Address: |
| | Owner Street 1: 30 FORBES ROAD, BUILDING B |
| | Owner Street 2: |
| | Owner City: NORTHBOROUGH |
| | Owner State: MA |
| | Owner ZIP Code: 01532 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? No |
| | Is Ten Percent Owner? No |
| | Is Other? No |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 8/2/22 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 3,495 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 0.00 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 3,495 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Stock Option (Right to Buy) |
| | Conversion or Exercise Price: |
| | | Value: 14.59 |
| | Transaction Date: |
| | | Value: 8/2/22 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: A |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 3,880 |
| | | Transaction Price Per Share: |
| Value: 0.00 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Exercise Date: |
| | | Footnote ID: F2 |
| | Expiration Date: |
| | | Value: 8/2/32 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 3,880 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 3,880 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: The reporting person was granted shares of common stock for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023. |
| Footnote - F2: The reporting person was granted options for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/ Virginia H. Johnson, Attorney-in-Fact |
| Signature Date: 8/3/22 |
