Other Information.
−Removed: During the fiscal quarter ended June 30, 2023, none of our directors or executive officers adopted , modified or terminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement.”
−Removed: Certificate of Amendment to Restated Certificate of Incorporation of Aspen Aerogels, Inc., dated June 1, 2023 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on June 1, 2023, File No.
−Removed: Aspen Aerogels 2023 Equity Incentive Plan (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on June 1, 2023, File No.
−Removed: Form of Stock Option Agreement under the Aspen Aerogels 2023 Equity Incentive Plan (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed on June 1, 2023, File No.
−Removed: Form of Restricted Stock Unit Agreement for Executive Officers under the Aspen Aerogels 2023 Equity Incentive Plan (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed on June 1, 2023, File No.
−Removed: Form of Restricted Stock Agreement for Directors under the Aspen Aerogels 2023 Equity Incentive Plan (incorporated by reference to Exhibit 10.4 to the Company’s Current Report on Form 8-K filed on June 1, 2023, File No.
−Removed: Form of Director Stock Option Agreement under the Aspen Aerogels 2023 Equity Incentive Plan (incorporated by reference to Exhibit 10.5 to the Company’s Current Report on Form 8-K filed on June 1, 2023, File No.
+Added: During the fiscal quarter ended September 30, 2023, none of our directors or executive officers adopted , modified or terminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement.”
+Added: Employment Offer Letter, dated August 23, 2023, by and between the Company and Santhosh Daniel.
+Added: First Amendment, dated September 28, 2023, to the Loan Agreement, dated November 28, 2022, by and among the Company, Aspen Aerogels Georgia, LLC, Aspen Aerogels Rhode Island, LLC and General Motors Holdings LLC.
+Added: Aspen Aerogels, Inc.
+Added: Bonus Plan (Amended and Restated Effective as of January 1, 2024).
+Added: Executive Employment Agreement, dated September 5, 2023, by and between the Company and Stephanie Pittman.
+Added: Separation Agreement, dated September 5, 2023, by and between the Company and Kelley Conte.
+Added: Consulting Agreement, dated September 5, 2023, by and between the Company and Kelley Conte.
Certification of principal executive officer under Section 302(a) of the Sarbanes-Oxley Act of 2002.
11 unchanged sentences
ASPEN AEROGELS, INC.
−Removed: August 3, 2023
+Added: November 2, 2023
/s/ Donald R.
1 unchanged sentence
(principal executive officer)
−Removed: August 3, 2023
+Added: November 2, 2023
/s/ Ricardo C.
Chief Financial Officer and Treasurer
−Removed: (principal financial officer and principal accounting officer)
+Added: (principal financial officer)
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.