false000114598600011459862024-11-142024-11-14

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): November 14, 2024

 

 

ASPEN AEROGELS, INC.

(Exact name of Registrant as Specified in Its Charter)

 

 

Delaware

001-36481

04-3559972

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(IRS Employer
Identification No.)

 

 

 

 

 

30 Forbes Road

Building B

 

Northborough, Massachusetts

 

01532

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s Telephone Number, Including Area Code: (508) 691-1111

 

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class

 

Trading
Symbol(s)

 


Name of each exchange on which registered

Common Stock

 

ASPN

 

The New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

Item 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics.

On November 14, 2024, the Board of Directors of Aspen Aerogels, Inc. (the “Company”) approved and adopted an amended and restated Code of Business Conduct and Ethics (the “Code”), to replace the Company’s existing Code in its entirety, as part of its ordinary course review of the Company’s policies. The Code applies to all officers, directors and employees of the Company and its subsidiaries and constitutes a “code of ethics” as such term is defined in Item 406(b) of Regulation S-K. The amendment and restatement of the Code did not relate to or result in any waiver, whether explicit or implicit, of any provision of the Code. Among other things, the amended Code addresses the Company’s mission and values, the process around reporting concerns pursuant to the Code, and expands upon existing subjects such as workplace conduct, trade compliance, gifts and entertainment, conflicts of interest, protection of confidential information, government relations and other pertinent topics.

The above description of the Code does not purport to be complete and is qualified in its entirety by reference to the full text of the Code, a copy of which is available on the “Investors” section of the Company’s website at www.aerogel.com. Information contained on or accessible through the Company’s website is not a part of, and is not incorporated by reference into, this Current Report on Form 8-K.
 

SIGNATURES

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 hereunto duly authorized.

 

 

 

Aspen Aerogels, Inc.

 

 

 

 

Date:

November 19, 2024

By:

/s/ Ricardo C. Rodriguez

 

 

Name:

Title:

Ricardo C. Rodriguez
Chief Financial Officer and Treasurer


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Document And Entity Information
Nov. 14, 2024
Cover [Abstract]  
Document Type 8-K
Amendment Flag false
Document Period End Date Nov. 14, 2024
Entity Registrant Name ASPEN AEROGELS, INC.
Entity Central Index Key 0001145986
Entity Emerging Growth Company false
Entity File Number 001-36481
Entity Incorporation, State or Country Code DE
Entity Tax Identification Number 04-3559972
Entity Address, Address Line One 30 Forbes Road
Entity Address, Address Line Two Building B
Entity Address, City or Town Northborough
Entity Address, State or Province MA
Entity Address, Postal Zip Code 01532
City Area Code (508)
Local Phone Number 691-1111
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Title of 12(b) Security Common Stock
Trading Symbol ASPN
Security Exchange Name NYSE
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