Other Information.
−Removed: During the fiscal quarter ended June 30, 2024, the following directors and executive officers adopted a “rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K of the Exchange Act).
−Removed: • On May 16, 2024 , Ricardo C.
−Removed: Rodriguez , Chief Financial Officer and Treasurer of the Company, adopted a Rule 10b5-1 Sales Plan.
−Removed: The plan is intended to satisfy the affirmative defense of Rule 10b5-1(c) and provides for the sale of up to an aggregate of 44,215 shares of our common stock until August 31, 2025 .
−Removed: • On June 4, 2024 , Donald R.
−Removed: Young , President and Chief Executive Officer of the Company and a director of the Company, adopted a Rule 10b5-1 Sales Plan.
−Removed: The plan is intended to satisfy the affirmative defense of Rule 10b5-1(c) and provides for the sale of up to an aggregate of 134,629 shares of our common stock until June 5, 2025 .
−Removed: • On June 6, 2024 , Steven R.
−Removed: Mitchell , a director of the Company, adopted a Rule 10b5-1 Sales Plan.
−Removed: The plan is intended to satisfy the affirmative defense of Rule 10b5-1(c) and provides for the sale of up to an aggregate of 57,541 shares of our common stock until June 7, 2025 .
−Removed: 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 June 30, 2024 .
−Removed: Non-Employee Director Compensation Policy.
+Added: 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 September 30, 2024 .
+Added: Note Purchase and Sale Agreement, dated as of August 19, 2024, by and between Aspen Aerogels, Inc.
+Added: and Wood River Capital, LLC (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K, filed with SEC on August 19, 2024).
+Added: Credit, Security and Guaranty Agreement, dated as of August 19, 2024, by and among Aspen Aerogels, Inc., Aspen Aerogels Rhode Island, LLC, MidCap Fund IV Trust and MidCap Financial Trust (incorporated by reference to Exhibit 10.2 of the Company’s Current Report on Form 8-K, filed with SEC on August 19, 2024).
+Added: Amended and Restated Executive Employment Agreement, dated as of August 30, 2024, by and between the Company and Donald R.
+Added: Young (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K, filed with SEC on September 3, 2024).
Certification of principal executive officer under Section 302(a) of the Sarbanes-Oxley Act of 2002.
2 unchanged sentences
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.
−Removed: Inline XBRL Taxonomy Extension Schema Document.
−Removed: Inline XBRL Taxonomy Extension Calculation Linkbase Document.
−Removed: Inline XBRL Taxonomy Extension Definition Linkbase Document.
−Removed: Inline XBRL Taxonomy Extension Label Linkbase Document.
−Removed: Inline XBRL Taxonomy Extension Presentation Linkbase Document.
+Added: Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents.
Cover Page Interactive Data File (embedded within the Inline XBRL document).
+Added: * Certain exhibits and schedules have been omitted in accordance with Item 601(a)(5) of Regulation S-K.
+Added: The registrant agrees to furnish supplementally a copy of any omitted exhibit or schedule to the SEC upon its request.
+ Management contract or compensatory plan or arrangement.
1 unchanged sentence
ASPEN AEROGELS, INC.
−Removed: August 8, 2024
+Added: November 7, 2024
/s/ Donald R.
1 unchanged sentence
(principal executive officer)
−Removed: August 8, 2024
+Added: November 7, 2024
/s/ Ricardo C.
2 unchanged sentences
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.