Item 5. Other Information
Item 5. Other Information.
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.”
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Item 6. E xhibits.
(a) Exhibits
10.1+
Employment Offer Letter, dated August 23, 2023, by and between the Company and Santhosh Daniel.
10.2
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.
10.3+
Aspen Aerogels, Inc. Bonus Plan (Amended and Restated Effective as of January 1, 2024).
10.4+
Executive Employment Agreement, dated September 5, 2023, by and between the Company and Stephanie Pittman.
10.5+
Separation Agreement, dated September 5, 2023, by and between the Company and Kelley Conte.
10.6+
Consulting Agreement, dated September 5, 2023, by and between the Company and Kelley Conte.
31.1
Certification of principal executive officer under Section 302(a) of the Sarbanes-Oxley Act of 2002.
31.2
Certification of principal financial officer under Section 302(a) of the Sarbanes-Oxley Act of 2002.
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Certifications of the principal executive officer and the principal financial officer under Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS
XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.
101.SCH
Inline XBRL Taxonomy Extension Schema Document.
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase Document.
101.LAB
Inline XBRL Taxonomy Extension Label Linkbase Document.
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document.
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
+ Management contract or compensatory plan or arrangement.
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SIGNA TURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
ASPEN AEROGELS, INC.
Date: November 2, 2023
By:
/s/ Donald R. Young
Donald R. Young
President and Chief Executive Officer
(principal executive officer)
Date: November 2, 2023
By:
/s/ Ricardo C. Rodriguez
Ricardo C. Rodriguez
Chief Financial Officer and Treasurer
(principal financial officer)
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