ASPN

SEC source: 0001209191-23-013359 · doc4.xml · nonDerivative · entry 1

RODRIGUEZ RICARDO C. · CIK 0001920996 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,575

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").

F2 · balance_after: Represents 2,003 shares of Common Stock, 3,982 RSUs and 53,590 shares of Restricted Stock.

SEC source: 0001209191-23-013357 · doc4.xml · nonDerivative · entry 1

Landes Gregg · CIK 0001731877 · SVP, Operations and Strat Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,259

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").

F2 · balance_after: Represents 50,319 shares of Common Stock, 7,350 RSUs and 53,590 shares of Restricted Stock.

SEC source: 0001209191-23-013356 · doc4.xml · nonDerivative · entry 1

Conte Kelley · CIK 0001668364 · Senior Vice President, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,729

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").

F2 · balance_after: Represents 54,107 shares of Common Stock, 7,032 RSUs and 53,590 shares of Restricted Stock.

SEC source: 0000899243-23-001000 · doc4.xml · derivative · entry 1

Wood River Capital, LLC · CIK 0001888978 · 10% owner

KOCH INDUSTRIES INC · CIK 0000923338 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 163,334 shares

Expires 2027-02-18

F1 · security: On February 15, 2022, Wood River Capital, LLC ("Wood River") entered into a note purchase agreement (the "NPA") with Aspen Aerogels, Inc. (the "Issuer") relating to the issuance and sale of $100,000,000 in aggregate principal amount of the Issuer's Convertible Senior PIK Toggle Notes due 2027, as amended by Amendment No. 1 to Convertible Senior PIK Toggle Notes Due 2027, dated November 28, 2022, by and between the Issuer and Wood River (as amended, the "Notes"). The Notes are convertible into shares of the Issuer's common stock at Wood River's option at any time until the business day prior to the maturity date.

F2 · derivative.exercise_price: Represents the effective conversion price of $29.936625 per share of the Issuer's common stock as reported in the Issuer's Current Report on Form 8-K, filed on November 29, 2022. The conversion price is subject to adjustment upon the occurrence of certain dilutive events such as stock splits and combinations, stock dividends, mergers and spin-offs.

F3 · kind: On January 4, 2023, the Issuer notified Wood River that, in connection with the interest payment on the Notes, the Issuer had elected to have all accrued and unpaid interest on the Notes to, but not including, the interest payment date of December 30, 2022 paid in-kind as an increase to the principal amount, which resulted in Wood River acquiring an additional $4,889,682 aggregate principal amount of the Notes (the "PIK Interest Payment").

F3 · reported_value: On January 4, 2023, the Issuer notified Wood River that, in connection with the interest payment on the Notes, the Issuer had elected to have all accrued and unpaid interest on the Notes to, but not including, the interest payment date of December 30, 2022 paid in-kind as an increase to the principal amount, which resulted in Wood River acquiring an additional $4,889,682 aggregate principal amount of the Notes (the "PIK Interest Payment").

F4 · derivative.underlying_shares: Represents 163,334 shares of the Issuer's common stock issuable to Wood River upon conversion of the principal amount represented by the PIK Interest Payment

F5 · ownership.direct: Wood River is beneficially owned by SCC Holdings, LLC ("SCC"), SCC is beneficially owned by KIM, LLC ("KIM"), KIM is beneficially owned by Koch Investments Group, LLC ("KIG"), KIG is beneficially owned by Koch Investments Group Holdings, LLC ("KIGH"), and KIGH is beneficially owned by Koch Industries, Inc. ("Koch Industries"), in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the shares of the Issuer's common stock beneficially owned by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.

SEC source: 0001209191-22-060221 · doc4.xml · nonDerivative · entry 1

SWEETNAM JAMES E · CIK 0001188600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,195

F1 · balance_after: Represents 2,700 shares of Common Stock and 3,495 Restricted Stock.

SEC source: 0000899243-22-037818 · doc4.xml · nonDerivative · entry 1

Wood River Capital, LLC · CIK 0001888978 · 10% owner

KOCH INDUSTRIES INC · CIK 0000923338 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,780,426

F1 · kind: On November 30, 2022, Aspen Aerogels, Inc. (the "Issuer") announced the pricing of an underwritten public offering of the Issuer's common stock, par value $0.00001 per share ("Public Shares"), at a price to the public of $9.50 per Public Share (the "Offering"). Wood River Capital, LLC ("Wood River") participated in the Offering by purchasing 10,526,316 Public Shares from the underwriters.

F2 · ownership.direct: Wood River is beneficially owned by SCC Holdings, LLC ("SCC"), SCC is beneficially owned by KIM, LLC ("KIM"), KIM is beneficially owned by Koch Investments Group, LLC ("KIG"), KIG is beneficially owned by Koch Investments Group Holdings, LLC ("KIGH"), and KIGH is beneficially owned by Koch Industries, Inc. ("Koch Industries"), in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the shares of the Issuer's common stock beneficially owned by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.

SEC source: 0000899243-22-037818 · doc4.xml · derivative · entry 2

Wood River Capital, LLC · CIK 0001888978 · 10% owner

KOCH INDUSTRIES INC · CIK 0000923338 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 491,735 shares

Expires 2027-02-18

F3 · derivative.exercise_price: On November 28, 2022, the Issuer and Wood River entered into Amendment No. 1 to Convertible Senior PIK Toggle Note Due 2027 ("Amendment No. 1") to the Convertible Senior PIK Toggle Note Due 2027, dated February 18, 2022 (as amended by Amendment No. 1, the "Convertible Notes"), whereby the initial conversion price was reduced by $5.00 from $34.936625 per Public Share to $29.936625 per Public Share by increasing the initial conversion rate from 28.623257 Public Shares per $1,000 principal amount of the Convertible Notes to 33.400100 Public Shares per $1,000 principal amount of the Convertible Notes. Wood River was not issued additional principal amount of the Convertible Notes in connection with Amendment No. 1, and the transaction in Table II is reported solely to reflect the change in conversion price on the Convertible Notes as a result of such amendment.

F3 · kind: On November 28, 2022, the Issuer and Wood River entered into Amendment No. 1 to Convertible Senior PIK Toggle Note Due 2027 ("Amendment No. 1") to the Convertible Senior PIK Toggle Note Due 2027, dated February 18, 2022 (as amended by Amendment No. 1, the "Convertible Notes"), whereby the initial conversion price was reduced by $5.00 from $34.936625 per Public Share to $29.936625 per Public Share by increasing the initial conversion rate from 28.623257 Public Shares per $1,000 principal amount of the Convertible Notes to 33.400100 Public Shares per $1,000 principal amount of the Convertible Notes. Wood River was not issued additional principal amount of the Convertible Notes in connection with Amendment No. 1, and the transaction in Table II is reported solely to reflect the change in conversion price on the Convertible Notes as a result of such amendment.

F3 · price: On November 28, 2022, the Issuer and Wood River entered into Amendment No. 1 to Convertible Senior PIK Toggle Note Due 2027 ("Amendment No. 1") to the Convertible Senior PIK Toggle Note Due 2027, dated February 18, 2022 (as amended by Amendment No. 1, the "Convertible Notes"), whereby the initial conversion price was reduced by $5.00 from $34.936625 per Public Share to $29.936625 per Public Share by increasing the initial conversion rate from 28.623257 Public Shares per $1,000 principal amount of the Convertible Notes to 33.400100 Public Shares per $1,000 principal amount of the Convertible Notes. Wood River was not issued additional principal amount of the Convertible Notes in connection with Amendment No. 1, and the transaction in Table II is reported solely to reflect the change in conversion price on the Convertible Notes as a result of such amendment.

F3 · derivative.exercise_date: On November 28, 2022, the Issuer and Wood River entered into Amendment No. 1 to Convertible Senior PIK Toggle Note Due 2027 ("Amendment No. 1") to the Convertible Senior PIK Toggle Note Due 2027, dated February 18, 2022 (as amended by Amendment No. 1, the "Convertible Notes"), whereby the initial conversion price was reduced by $5.00 from $34.936625 per Public Share to $29.936625 per Public Share by increasing the initial conversion rate from 28.623257 Public Shares per $1,000 principal amount of the Convertible Notes to 33.400100 Public Shares per $1,000 principal amount of the Convertible Notes. Wood River was not issued additional principal amount of the Convertible Notes in connection with Amendment No. 1, and the transaction in Table II is reported solely to reflect the change in conversion price on the Convertible Notes as a result of such amendment.

F3 · derivative.underlying_shares: On November 28, 2022, the Issuer and Wood River entered into Amendment No. 1 to Convertible Senior PIK Toggle Note Due 2027 ("Amendment No. 1") to the Convertible Senior PIK Toggle Note Due 2027, dated February 18, 2022 (as amended by Amendment No. 1, the "Convertible Notes"), whereby the initial conversion price was reduced by $5.00 from $34.936625 per Public Share to $29.936625 per Public Share by increasing the initial conversion rate from 28.623257 Public Shares per $1,000 principal amount of the Convertible Notes to 33.400100 Public Shares per $1,000 principal amount of the Convertible Notes. Wood River was not issued additional principal amount of the Convertible Notes in connection with Amendment No. 1, and the transaction in Table II is reported solely to reflect the change in conversion price on the Convertible Notes as a result of such amendment.

F2 · ownership.direct: Wood River is beneficially owned by SCC Holdings, LLC ("SCC"), SCC is beneficially owned by KIM, LLC ("KIM"), KIM is beneficially owned by Koch Investments Group, LLC ("KIG"), KIG is beneficially owned by Koch Investments Group Holdings, LLC ("KIGH"), and KIGH is beneficially owned by Koch Industries, Inc. ("Koch Industries"), in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the shares of the Issuer's common stock beneficially owned by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.

SEC source: 0001209191-22-057600 · doc4.xml · nonDerivative · entry 1

RODRIGUEZ RICARDO C. · CIK 0001920996 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,878

F1 · shares: Shares withheld by Registrant to satisfy minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").

F2 · balance_after: Represents 1,434 shares of common stock, 4,854 RSUs and 53,590 Restricted Stock.

SEC source: 0001209191-22-055835 · doc4.xml · nonDerivative · entry 1

SCHILLING KEITH L · CIK 0001628467 · Sr. Vice President, Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,143

F1 · shares: Shares withheld by Registrant to satisfy minimum statutory tax withholding requirements on vesting of Restricted Stock Units ("RSUs").

F2 · balance_after: Represents 898 shares of common stock, 6,655 RSUs and 53,590 Restricted Stock.

SEC source: 0001209191-22-055579 · doc4.xml · derivative · entry 2

Kool Kathleen · CIK 0001934384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,470

Underlying: Common Stock · 4,470 shares

Expires 2032-11-01

F2 · derivative.exercise_date: The reporting person was granted options for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-055579 · doc4.xml · nonDerivative · entry 1

Kool Kathleen · CIK 0001934384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,197

F1 · shares: The reporting person was granted shares of common stock for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-044248 · doc4.xml · derivative · entry 2

SWEETNAM JAMES E · CIK 0001188600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,880

Underlying: Common Stock · 3,880 shares

Expires 2032-08-02

F2 · derivative.exercise_date: The reporting person was granted options for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-044248 · doc4.xml · nonDerivative · entry 1

SWEETNAM JAMES E · CIK 0001188600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,495

F1 · shares: The reporting person was granted shares of common stock for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0000899243-22-035730 · doc4.xml · derivative · entry 1

Wood River Capital, LLC · CIK 0001888978 · 10% owner

KOCH INDUSTRIES INC · CIK 0000923338 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,940,667

Underlying: Common Stock · 84,171 shares

Expires 2027-02-18

F1 · security: On February 15, 2022, Wood River Capital, LLC ("Wood River") entered into a note purchase agreement (the "NPA") with Aspen Aerogels, Inc. (the "Issuer") relating to the issuance and sale of $100,000,000 in aggregate principal amount of the Issuer's Convertible Senior PIK Toggle Notes due 2027 (the "Notes"). The Notes were issued to Wood River on February 18, 2022 and are convertible into shares of the Issuer's common stock at Wood River's option at any time until the business day prior to the maturity date, based on an initial conversion rate of 28.623257 shares per $1,000 principal amount of the Notes, subject to customary anti-dilution and other adjustments.

F2 · derivative.exercise_price: Represents the effective conversion price per share of common stock of the Issuer as reported in the Issuer's Form 10-Q for the quarterly period ending September 30, 2022, filed on November 7, 2022. The conversion price is subject to adjustment upon the occurrence of certain dilutive events such as stock splits and combinations, stock dividends, mergers and spin-offs.

F3 · kind: On July 6, 2022, the Issuer notified Wood River that, in connection with the interest payment on the Notes, the Issuer had elected to have all accrued and unpaid interest on the Notes as of June 30, 2022 paid in-kind as an increase to the principal amount, which resulted in Wood River acquiring an additional $2,940,667 aggregate principal amount of the Notes (the "PIK Interest Payment").

F3 · shares: On July 6, 2022, the Issuer notified Wood River that, in connection with the interest payment on the Notes, the Issuer had elected to have all accrued and unpaid interest on the Notes as of June 30, 2022 paid in-kind as an increase to the principal amount, which resulted in Wood River acquiring an additional $2,940,667 aggregate principal amount of the Notes (the "PIK Interest Payment").

F4 · derivative.underlying_shares: Represents 84,171 shares of the Issuer's common stock issuable to Wood River upon conversion of the principal amount represented by the PIK Interest Payment.

F5 · ownership.direct: Wood River is beneficially owned by SCC Holdings, LLC ("SCC"), SCC is beneficially owned by KIM, LLC ("KIM"), KIM is beneficially owned by Koch Investments Group, LLC ("KIG"), KIG is beneficially owned by Koch Investments Group Holdings, LLC ("KIGH"), and KIGH is beneficially owned by Koch Industries, Inc. ("Koch Industries"), in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the shares of the Issuer's common stock beneficially owned by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.

SEC source: 0001209191-22-034750 · doc4a.xml · derivative · entry 3

Johnson Virginia · CIK 0001929494 · CLO, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,927

Underlying: Common Stock · 29,927 shares

Expires 2032-06-02

F5 · derivative.exercise_date: The options will vest as to one-third of the shares on June 2, 2023, an additional one-third of the shares on June 2, 2024 and the remaining one-third of the shares on June 2, 2025.

SEC source: 0001209191-22-034750 · doc4a.xml · nonDerivative · entry 2

Johnson Virginia · CIK 0001929494 · CLO, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,545

F2 · shares: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F3 · shares: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F2 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F3 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F4 · balance_after: Represents 5,955 Restricted Stock Units and 53,590 shares of Restricted Common Stock.

SEC source: 0001209191-22-034750 · doc4a.xml · nonDerivative · entry 1

Johnson Virginia · CIK 0001929494 · CLO, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,955

F1 · shares: Each Restricted Stock Unit ("RSU") represent the right to receive one share of Common Stock upon vesting. The RSUs vest as to one-third of the shares on June 2, 2023, an additional one-third of the shares on June 2, 2024 and the remaining shares on June 2, 2025.

F1 · price: Each Restricted Stock Unit ("RSU") represent the right to receive one share of Common Stock upon vesting. The RSUs vest as to one-third of the shares on June 2, 2023, an additional one-third of the shares on June 2, 2024 and the remaining shares on June 2, 2025.

SEC source: 0001209191-22-034714 · doc4.xml · nonDerivative · entry 1

Whitaker Corby C · CIK 0001610273 · SVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,890

F1 · shares: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · shares: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F1 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F3 · balance_after: Represents 102,524 shares of Common Stock, 8776 Restricted Stock Units and 53,590 shares of Restricted Stock.

SEC source: 0001209191-22-034713 · doc4.xml · nonDerivative · entry 1

SCHILLING KEITH L · CIK 0001628467 · Sr. Vice President, Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,433

F1 · shares: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · shares: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F1 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F3 · balance_after: Represents 7,843 Restricted Stock Units and 53,590 Restricted Stock.

SEC source: 0001209191-22-034711 · doc4.xml · nonDerivative · entry 1

Landes Gregg · CIK 0001731877 · SVP, Operations and Strat Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,754

F1 · shares: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · shares: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F1 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F3 · balance_after: Represents 49,388 shares of Common Stock, 8,776 Restricted Stock Units and 53,590 Restricted Stock.

SEC source: 0001209191-22-034712 · doc4.xml · nonDerivative · entry 1

RODRIGUEZ RICARDO C. · CIK 0001920996 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,476

F1 · shares: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · shares: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F1 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F3 · balance_after: Represents 6,886 Restricted Stock Units and 53,590 shares of Restricted Stock.

SEC source: 0001209191-22-034708 · doc4.xml · nonDerivative · entry 1

Conte Kelley · CIK 0001668364 · Senior Vice President, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,169

F1 · shares: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · shares: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F1 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F2 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65.

F3 · balance_after: Represents 53,279 shares of Common Stock, 8,300 Restricted Stock Units and 53,590 shares of Restricted Stock.

SEC source: 0001209191-22-034710 · doc4.xml · derivative · entry 3

Johnson Virginia · CIK 0001929494 · CLO, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,927

Underlying: Common Stock · 29,927 shares

Expires 2032-06-02

F5 · derivative.exercise_date: These options vest as to one-third of the shares on June 2, 2023, and additional one-third of the shares on June 2, 2024 and the remaining one-third of the shares on June 2, 2025.

SEC source: 0001209191-22-034710 · doc4.xml · nonDerivative · entry 2

Johnson Virginia · CIK 0001929494 · CLO, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,545

F2 · price: The reporting person was granted restricted shares of common stock (the "Award") pursuant to a Performance-Based Restricted Stock Agreement by and between Aspen Aerogels, Inc. and the reporting person subject to the 2014 Employee, Director and Consultant Equity Incentive Plan. In order for a tranche of this Award to vest, both time and performance vesting conditions must be satisfied. For the time vesting condition, a tranche will vest at the later of (i) three years from the grant date or (ii) one year from the date when an applicable performance hurdle is achieved, subject to a maximum five-year vesting period for shares with respect to which the performance hurdle has been achieved. With respect to the performance vesting condition, there are three tranches with different share price hurdles and a five-year total performance period. If a share price hurdle is not met after five years, the applicable tranche is forfeited.

F3 · price: (cont.) The share price hurdle is met by reference to a 30-day volume weighted average price (VWAP) that is maintained for 60 days (the "Share Price Hurdle"). The first tranche consists of 34% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $43.33.The second tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $64.99. The third tranche consists of 33% of the restricted shares of common stock granted under the Award, with the Share Price Hurdle equal to $86.65

F4 · balance_after: Represents 5,955 Restricted Stock Units and 53,590 shares of Restricted Common Stock.

SEC source: 0001209191-22-034710 · doc4.xml · nonDerivative · entry 1

Johnson Virginia · CIK 0001929494 · CLO, GC and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,955

F1 · shares: Each Restricted Stock Unit ("RSU") represent the right to receive one share of Common Stock upon vesting. The RSUs vest as to one-third of the shares on June 2, 2023, and additional one-third of the shares on June 2, 2024 and the remaining shares on June 2, 2025.

SEC source: 0001209191-22-034706 · doc4.xml · derivative · entry 4

NOGLOWS WILLIAM P · CIK 0001201094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178

Underlying: Common Stock · 3,178 shares

Expires 2032-06-02

F4 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034706 · doc4.xml · nonDerivative · entry 1

NOGLOWS WILLIAM P · CIK 0001201094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,231

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034704 · doc4.xml · derivative · entry 2

Reilly Richard F · CIK 0001610275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178

Underlying: Common Stock · 3,178 shares

Expires 2032-06-02

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034704 · doc4.xml · nonDerivative · entry 1

Reilly Richard F · CIK 0001610275 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,231

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034703 · doc4.xml · derivative · entry 2

Noetzel Mark L · CIK 0001472264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178

Underlying: Common Stock · 3,178 shares

Expires 2032-06-02

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034703 · doc4.xml · nonDerivative · entry 1

Noetzel Mark L · CIK 0001472264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,834

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034702 · doc4.xml · derivative · entry 2

Mitchell Steven R · CIK 0001610279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178

Underlying: Common Stock · 3,178 shares

Expires 2032-06-02

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034702 · doc4.xml · nonDerivative · entry 1

Mitchell Steven R · CIK 0001610279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,231

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034698 · doc4.xml · derivative · entry 2

Blalock Rebecca · CIK 0001677366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178

Underlying: Common Stock · 3,178 shares

Expires 2032-06-02

F2 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034698 · doc4.xml · nonDerivative · entry 1

Blalock Rebecca · CIK 0001677366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,789

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034701 · doc4.xml · derivative · entry 3

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,178

Underlying: Common Stock · 3,178 shares

Expires 2032-06-02

F3 · derivative.exercise_date: The reporting person was granted options representing the remaining portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. The options will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-034701 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,182

F1 · shares: The reporting person was granted restricted shares of common stock representing a portion of the annual grant of equity for service as a non-employee director pursuant to the Issuer's Non-Employee Director Compensation Policy. These restricted shares will vest on the earlier of (a) June 2, 2023, or (b) the day prior to the Issuer's annual meeting of stockholders to be held in 2023.

SEC source: 0001209191-22-028577 · doc4.xml · nonDerivative · entry 1

Young Donald R · CIK 0001610257 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,146

F1 · balance_after: Represents 115,827 shares of Common Stock, 21,703 Restricted Stock Units and 461,616 Restricted Stock.

SEC source: 0000899243-22-016306 · doc4.xml · nonDerivative · entry 1

SPRING CREEK CAPITAL LLC · CIK 0001451531 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On May 2, 2022, Spring Creek Capital, LLC ("Spring Creek") transferred 3,462,124 shares of common stock of Aspen Aerogels Inc. (the "Issuer") to Wood River Capital, LLC ("Wood River"). Each of Spring Creek and Wood River are indirectly beneficially owned by Koch Industries, Inc. Beneficial ownership is presented excluding non-voting preferred equity securities. No consideration was paid by Wood River to Spring Creek in connection with this transfer.

SEC source: 0000899243-22-016317 · doc4.xml · nonDerivative · entry 1

Wood River Capital, LLC · CIK 0001888978 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,324,449

F1 · kind: On May 2, 2022, Spring Creek Capital, LLC ("Spring Creek") transferred 3,462,124 shares of common stock of Aspen Aerogels Inc. (the "Issuer") to Wood River Capital, LLC ("Wood River"). Each of Spring Creek and Wood River are indirectly beneficially owned by Koch Industries, Inc. Beneficial ownership is presented excluding non-voting preferred equity securities. No consideration was paid by Wood River to Spring Creek in connection with this transfer.

F2 · ownership.direct: Wood River is beneficially owned by SCC Holdings, LLC ("SCC"), SCC is beneficially owned by KIM, LLC ("KIM"), KIM is beneficially owned by Koch Investments Group, LLC ("KIG"), KIG is beneficially owned by Koch Investments Group Holdings, LLC ("KIGH"), and KIGH is beneficially owned by Koch Industries, Inc. ("Koch Industries"), in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the shares of common stock of the Issuer held by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.

SEC source: 0001209191-22-023979 · doc4.xml · derivative · entry 2

Noetzel Mark L · CIK 0001472264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,799 shares

Expires 2026-06-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: These options were fully vested and exercisable

SEC source: 0001209191-22-023979 · doc4.xml · nonDerivative · entry 1

Noetzel Mark L · CIK 0001472264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,135

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-22-012785 · doc4.xml · nonDerivative · entry 2

KOCH INDUSTRIES INC · CIK 0000923338 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,791,986

F3 · balance_after: On March 28, 2022, the Issuer issued and sold to Wood River Capital, LLC ("Wood River") 1,791,986 Public Shares, at a price of $27.902 per share, for an aggregate purchase price of approximately $50.0 million, pursuant to the terms of the Securities Purchase Agreement dated February 15, 2022.

F4 · ownership.nature: Wood River is beneficially owned by SCC, SCC is beneficially owned by KIM, KIM is beneficially owned by KIG, KIG is beneficially owned by KIGH, and KIGH is beneficially owned by Koch Industries, in each case by means of ownership of all voting equity instruments. Koch Industries, SCC, KIM, KIG, and KIGH may be deemed to beneficially own the Public Shares beneficially owned by Wood River by virtue of (i) Koch Industries' beneficial ownership of KIGH, (ii) KIGH's beneficial ownership of KIG, (iii) KIG's beneficial ownership of KIM, (iv) KIM's beneficial ownership of SCC and (v) SCC's beneficial ownership of Wood River.

SEC source: 0001209191-22-020789 · doc4.xml · nonDerivative · entry 1

Gervis Robert M. · CIK 0001472399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,483

F1 · shares: All 135,870 shares were purchased by Mr. Gervis from the issuer in the issuer's at-the-market offering pursuant to the issuer's at-the-market sales agreement

SEC source: 0001209191-22-014400 · doc4.xml · nonDerivative · entry 2

FAIRBANKS JOHN F · CIK 0001094147 · VP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,277

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of RSUs.

F4 · balance_after: Represents 133,236 shares of common stock and 8,041 RSUs.

SEC source: 0001209191-22-014412 · doc4.xml · nonDerivative · entry 2

Landes Gregg · CIK 0001731877 · SVP, Operations and Strat Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,164

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of RSUs.

F4 · balance_after: Represents 49,388 shares of common stock and 8,776 RSUs.

SEC source: 0001209191-22-014406 · doc4.xml · nonDerivative · entry 2

Conte Kelley · CIK 0001668364 · Senior Vice President, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,579

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of RSUs.

F4 · balance_after: Represents 53,279 shares of common stock and 8,300 RSUs.

SEC source: 0001209191-22-014402 · doc4.xml · nonDerivative · entry 1

Whitaker Corby C · CIK 0001610273 · SVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,300

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of Restricted Stock Units("RSUs").

F2 · balance_after: Represents 102,524 shares of common stock and 8,776 RSUs.

SEC source: 0001209191-22-014398 · doc4.xml · nonDerivative · entry 2

Young Donald R · CIK 0001610257 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,146

F3 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of RSUs.

F4 · balance_after: Represents 110,827 shares of common stock, 21,703 RSUs and 461,616 restricted shares.

SEC source: 0001209191-22-014400 · doc4.xml · nonDerivative · entry 1

FAIRBANKS JOHN F · CIK 0001094147 · VP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,311

F1 · shares: Shares withheld by Registrant to satisfy the minimum statutory tax withholding requirements on vesting of time-based restricted stock units ("RSUs").

F2 · balance_after: Represents 123,496 shares of common stock and 21,815 RSUs.