Aspen Aerogels director receives new equity grants

Aspen Aerogels director James E. Sweetnam received new equity awards.

(Neutral)

(Neutral)How Sentiment works

Sentiment and the balance of points

Rhea-AI Sentiment reads the wording of the document, how positive or negative its language is on a 1 to 5 scale. The balance of points shown with the takes weighs what the document actually discloses, so the two can disagree, for example when a trial that missed its main goal is described in upbeat language.

How Sentiment works How the balance works

Form Type

Rhea-AI Filing Summary

Aspen Aerogels director James E. Sweetnam received new equity awards. He was granted 10,370 Restricted Stock Units as part of his annual compensation for service as a non-employee director. Each RSU converts into one share of common stock upon vesting in 2027.

He also received stock options for 8,706 shares of common stock at an exercise price of $5.40 per share, expiring on May 13, 2036. Following these awards, he holds 36,321 shares of common stock, including 10,370 RSUs.

Insider Trade Summary

Grant/Award: 19,076 shares

Grant/Award 2 txns

Insider SWEETNAM JAMES E

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Stock Options (Right to Buy)	8,706	$0.00	$0.00
Grant/Award	Common Stock	10,370	$0.00	$0.00

Holdings After Transaction: Stock Options (Right to Buy) — 8,706 contracts (Direct); Common Stock — 36,321 shares (Direct)

Footnotes (3)

F1. The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027.
F2. Represents 25,951 shares of Common Stock and 10,370 RSUs.
F3. The reporting person was granted options representing the remaining portion of the annual grant of equity 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) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027.

Key Figures

RSUs granted: 10,370 RSUs Options granted: 8,706 options Option exercise price: $5.40 per share +3 more

6 metrics

RSUs granted 10,370 RSUs Annual equity grant for non-employee director on May 13, 2026

Options granted 8,706 options Stock Options (Right to Buy) granted on May 13, 2026

Option exercise price <money>$5.40</money> per share Exercise price for 8,706 stock options

Option expiration <date>May 13, 2036</date> Expiration date of granted stock options

Shares after transaction 36,321 shares Common stock holdings following reported grants

Common shares vs RSUs 25,951 shares + 10,370 RSUs Breakdown of 36,321 common stock-related holdings

Key Terms

Restricted Stock Units ("RSUs"), Non-Employee Director Compensation Policy, Stock Options (Right to Buy), exercise price, +1 more

5 terms

Restricted Stock Units ("RSUs") financial

"The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity"

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

Non-Employee Director Compensation Policy financial

"for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy"

Stock Options (Right to Buy) financial

"The reporting person was granted options representing the remaining portion of the annual grant of equity"

exercise price financial

"conversion_or_exercise_price": "5.4000""

The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.

annual grant of equity financial

"representing a portion of the annual grant of equity for service as a non-employee director"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did ASPN director James E. Sweetnam report?

James E. Sweetnam reported receiving equity awards, not open-market trades. He was granted 10,370 Restricted Stock Units and 8,706 stock options as part of his annual compensation for serving as a non-employee director of Aspen Aerogels.

How many Aspen Aerogels (ASPN) RSUs did James E. Sweetnam receive?

He received 10,370 Restricted Stock Units. Each RSU represents the right to receive one share of Aspen Aerogels common stock upon vesting, which is scheduled for the earlier of May 13, 2027, or the day before the company’s 2027 annual stockholder meeting.

What are the terms of the stock options granted to ASPN director Sweetnam?

He received options on 8,706 shares of Aspen Aerogels common stock with an exercise price of $5.40 per share. These options vest on the same 2027 schedule as the RSUs and expire on May 13, 2036, giving long-term exercise flexibility.

When will James E. Sweetnam’s Aspen Aerogels RSUs and options vest?

Both the 10,370 RSUs and the 8,706 stock options will vest on the earlier of May 13, 2027, or the day prior to Aspen Aerogels’ annual meeting of stockholders to be held in 2027, aligning vesting with the company’s director compensation cycle.

How many Aspen Aerogels shares does Sweetnam hold after these grants?

After the reported grants, he holds 36,321 shares of Aspen Aerogels common stock. This total includes 25,951 already-owned shares plus 10,370 Restricted Stock Units, reflecting both his existing stake and the newly awarded RSUs as disclosed.

Is the ASPN Form 4 for James E. Sweetnam a stock purchase or sale?

The Form 4 shows compensation-related acquisitions, not market trades. The transactions are coded as grants of RSUs and stock options, meaning they are awards for board service rather than open-market buying or selling of Aspen Aerogels shares.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google

Accepted by SEC EDGAR 05/14/2026 - 05:30 PM EDT

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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^*

SWEETNAM JAMES E

(Last)

(First)

(Middle)

C/O ASPEN AEROGELS, INC.,

30 FORBES ROAD, BLDG B

(Street)

NORTHBOROUGH

MASSACHUSETTS

01532

(City)

(State)

(Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/13/2026

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

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

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

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	05/13/2026		A		10,370⁽¹⁾	A	$0	36,321⁽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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Options (Right to Buy)	$5.4	05/13/2026		A		8,706		⁽³⁾	05/13/2036	Common Stock	8,706	$0	8,706	D

Explanation of Responses:

1. The reporting person was granted Restricted Stock Units ("RSUs") representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs will vest on the earlier of (a) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027.

2. Represents 25,951 shares of Common Stock and 10,370 RSUs.

3. The reporting person was granted options representing the remaining portion of the annual grant of equity 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) May 13, 2027, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2027.

Remarks:

Exhibit 24.1 - Power of Attorney

	/s/ Glenn Deegan, Attorney-in-Fact	05/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR