ASPEN AEROGELS INC 10-Q

Item 5. Other Information. 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 . 41 Item 6. E xhibits. (a) Exhibits 10.1* Note Purchase and Sale Agreement, dated as of August 19, 2024, by and between Aspen Aerogels, Inc. 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). 10.2* 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). 10.3+ Amended and Restated Executive Employment Agreement, dated as of August 30, 2024, by and between the Company and Donald R. 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). 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 With Embedded Linkbase Documents. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document). * Certain exhibits and schedules have been omitted in accordance with Item 601(a)(5) of Regulation S-K. 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. 42 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 7, 2024 By: /s/ Donald R. Young Donald R. Young President and Chief Executive Officer (principal executive officer) Date: November 7, 2024 By: /s/ Ricardo C. Rodriguez Ricardo C. Rodriguez Chief Financial Officer and Treasurer (principal financial officer) 43