Aspen Aerogels (ASPN) CCO has shares withheld to cover RSU taxes

Rhea-AI Filing Summary

Aspen Aerogels Chief Commercial Officer Corby C. Whitaker reported a routine tax-related share disposition. On the vesting of Restricted Stock Units, 1,924 shares of Common Stock were withheld by the company at $3.22 per share to cover minimum statutory tax obligations.

After this withholding, Whitaker directly holds 205,315 shares of Common Stock, which the footnotes clarify represent 128,170 shares plus 77,145 RSUs. This event reflects compensation and tax mechanics rather than an open-market trade.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Whitaker Corby C

(Last) (First) (Middle)

C/O ASPEN AEROGELS, INC.,

30 FORBES ROAD, BLDG B

(Street)

NORTHBOROUGH MA 01532

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
ASPEN AEROGELS INC [ ASPN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Commercial Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/08/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/08/2026		F		1,924(1)	D	$3.22	205,315(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. 1. Shares withheld by Registrant to satisfy minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").

2. Represents 128,170 shares of Common Stock and 77,145 RSUs.

	/s/ Glenn Deegan, Attorney-in-Fact	03/10/2026
	** Signature of Reporting Person	Date
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FAQ

What insider transaction did Aspen Aerogels (ASPN) report for Corby C. Whitaker?

Aspen Aerogels reported a tax-related share disposition by Chief Commercial Officer Corby C. Whitaker. The company withheld 1,924 shares of Common Stock upon RSU vesting to satisfy minimum statutory tax withholding requirements, rather than through an open-market sale.

How many Aspen Aerogels shares were withheld for taxes in this Form 4?

The filing shows 1,924 shares of Aspen Aerogels Common Stock were withheld at $3.22 per share. These shares covered minimum statutory tax obligations triggered when Restricted Stock Units vested as part of Whitaker’s equity compensation.

Does the Aspen Aerogels Form 4 show an open-market sale by the CCO?

No, the Form 4 reflects a tax-withholding disposition, not an open-market sale. Shares were retained by Aspen Aerogels to cover Whitaker’s tax liability on vested Restricted Stock Units, a common administrative step in equity compensation programs.

What are Corby C. Whitaker’s holdings after this Aspen Aerogels transaction?

After the tax withholding, Whitaker directly holds 205,315 Aspen Aerogels-related units. Footnotes state this includes 128,170 shares of Common Stock and 77,145 Restricted Stock Units, showing a substantial continuing equity stake following the routine tax event.

What does transaction code F mean in the Aspen Aerogels Form 4?

Transaction code F indicates payment of exercise price or tax liability by delivering or withholding securities. In this case, Aspen Aerogels withheld 1,924 shares from Whitaker’s vesting RSUs to meet minimum statutory tax withholding requirements automatically.