Conte Kelley's Form 4 filing
Aspen Aerogels Inc (ASPN) · filed Dec 1, 2021
- Accession no.
- 0001209191-21-067275
- Filed
- Dec 1, 2021
- Trade date
- Nov 30, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.12M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Conte KelleyCIK 0001668364 | Officer (Vice President,Human Resources) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2021 | Common Stock | MOption exerciseAcquired | +20,000 | $5.82 | +$116,400 | 82,097 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −8,013 | $54.95F2 | −$440,314.35 | 74,084 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −5,126 | $55.83F4 | −$286,184.58 | 68,958 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −4,503 | $57.04F6 | −$256,851.12 | 64,455 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −2,358 | $58.09F8 | −$136,976.22 | 62,097 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 30, 2021 | Common Stock | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 4,609 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $54.34 to $55.34 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F4
The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $55.40 to $56.29 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F6
The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $56.48 to $57.48 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.
- F8
The price reflected is the weighted-average sale price for shares sold. The shares were sold in multiple transactions and the range of sale prices for the transactions reported was $57.50 to $58.49 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.