Whitaker Corby C 4

4 · ASPEN AEROGELS INC · Filed Mar 6, 2026

AI-generated summary of this filing

Updated Mar 6, 2026

Aspen Aerogels (ASPN) SVP Corby Whitaker Receives Equity Awards

What Happened

Whitaker Corby C, SVP Sales & Marketing at Aspen Aerogels (ASPN), received equity awards on 2026-03-04: 57,462 shares issued as an award (code A) and 77,824 derivative awards (code A) granted at $0.00. On 2026-03-05, 3,907 shares were disposed (code F) to satisfy tax withholding at $3.27 per share, netting $12,776.
The awards were granted (not purchased); the reported disposal was routine tax withholding rather than an open-market sale.

Key Details

Transaction dates/prices: 2026-03-04 awards at $0.00; 2026-03-05 tax withholding of 3,907 shares at $3.27 ($12,776).
Reported holdings after transaction: filing notes 124,588 shares of Common Stock and 82,651 RSUs (per footnote F3).
Footnotes of note:
- F1: RSUs vest one-third on each of Mar 4, 2027, 2028 and 2029.
- F2: Shares were withheld to satisfy minimum statutory tax withholding on RSU vesting.
- F4: Options (if applicable to the derivative grant) vest on the same 3-year schedule.
Filing appears timely (transaction date Mar 4, filed Mar 6).

Context

These were grant/award transactions (not purchases); awards typically vest over multiple years and are long-term compensation.
The 3,907-share disposition was a tax-withholding event (routine) and should not be interpreted as a discretionary sale of shares.

Form 4

Period: 2026-03-04

Chief Commercial Officer

Transactions

Award
Common Stock
[F1]
2026-03-04+57,462→ 211,146 total
Tax Payment
Common Stock
[F2][F3]
2026-03-05$3.27/sh−3,907$12,776→ 207,239 total
Award
Stock Options (Right to Buy)
[F4]
2026-03-04+77,824→ 77,824 total
Exercise: $3.35Exp: 2036-03-04→ Common Stock (77,824 underlying)

Footnotes (4)

[F1]Each Restricted Stock Unit ("RSU") represents the right to receive one share of Common Stock upon vesting. The RSUs vest as to one-third of the shares on March 4, 2027, an additional one-third of the shares on March 4, 2028 and the remaining one-third of the shares on March 4, 2029.
[F2]Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").
[F3]Represents 124,588 shares of Common Stock and 82,651 RSUs.
[F4]The options vest as to one-third of the shares on March 4, 2027, an additional one-third of the shares on March 4, 2028 and the remaining one-third of the shares on March 4, 2029.

Signature

/s/ Glenn Deegan, Attorney-in-Fact|2026-03-06

2 files