0001209191-17-027780.txt : 20170420 0001209191-17-027780.hdr.sgml : 20170420 20170420194836 ACCESSION NUMBER: 0001209191-17-027780 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170419 FILED AS OF DATE: 20170420 DATE AS OF CHANGE: 20170420 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASPEN AEROGELS INC CENTRAL INDEX KEY: 0001145986 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-LUMBER & OTHER CONSTRUCTION MATERIALS [5030] IRS NUMBER: 043559972 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30 FORBES ROAD STREET 2: BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 BUSINESS PHONE: 5086911111 MAIL ADDRESS: STREET 1: 30 FORBES ROAD STREET 2: BUILDING B CITY: NORTHBOROUGH STATE: MA ZIP: 01532 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gervis Robert M. CENTRAL INDEX KEY: 0001472399 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36481 FILM NUMBER: 17773961 MAIL ADDRESS: STREET 1: 1000 ABERNATHY ROAD N.E. STREET 2: SUITE 1200 CITY: ATLANTA STATE: GA ZIP: 30328 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-04-19 0 0001145986 ASPEN AEROGELS INC ASPN 0001472399 Gervis Robert M. C/O ASPEN AEROGELS, INC. 30 FORBES ROAD, BUILDING B NORTHBOROUGH MA 01532 1 0 0 0 Common Stock 2017-04-19 4 P 0 4200 3.98 A 53856 I Held by Robert Gervis 2014 Grantor Retained Annuity Trust Common Stock 2017-04-19 4 P 0 4600 3.98 A 79717 D Common Stock 2017-04-20 4 P 0 5300 3.99 A 59156 I Held by Robert Gervis 2014 Grantor Retained Annuity Trust Common Stock 2017-04-20 4 P 0 5400 3.99 A 85117 D This 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. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.96 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. Represents shares held by the Robert Gervis 2014 Grantor Retained Annuity Trust, of which the reporting person is a beneficiary and his spouse is trustee. This purchase of shares was effected pursuant to a Rule 10b5-1 purchase plan of the reporting person adopted on November 18, 2016. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.97 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. /s/ Robert M. Gervis 2017-04-20