ASPEN AEROGELS INC 10-Q

Item 5. Other Information. On February 26, 2024 , Donald R. Young , our President, Chief Executive Officer , and member of our board of directors, adopted a trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan provides for the sale of up to 691,124 shares at specific market prices, subject to specified limitations, during pre-determined sale periods. The plan was established for the purposes of facilitating the exercise and subsequent sale of stock options with a ten-year contractual life that are due to expire between September 2024 and December 2025 (the “Options”), by facilitating the sale of shares solely to raise sufficient proceeds to cover the exercise cost and taxes associated with the exercise of the Options. The plan expires on the earlier of (i) the date all of the shares under the plan have been sold and (ii) December 11, 2025 . Except as disclosed above, 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” as such term is defined in Item 408(a) of Regulation S-K, during the fiscal quarter ended March 31, 2024 . 33 Item 6. E xhibits. (a) Exhibits 10.1+ SEIG Award Cancellation Agreement, dated March 6, 2024 (Donald R. Young) (incorporated by reference to Exhibit 10.1 of the Registrant’s Form 8-K, filed on March 7, 2024). 10.2+ Form of SEIG Award Cancellation Agreement, dated March 6, 2024 (other employees) (incorporated by reference to Exhibit 10.2 of the Registrant’s Form 8-K, filed on March 7, 2024). 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. 32 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. 34 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: May 2, 2024 By: /s/ Donald R. Young Donald R. Young President and Chief Executive Officer (principal executive officer) Date: May 2, 2024 By: /s/ Ricardo C. Rodriguez Ricardo C. Rodriguez Chief Financial Officer and Treasurer (principal financial officer) 35