09/10/2025 | Press release | Distributed by Public on 09/10/2025 19:01
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $0.25 | 09/09-05:00/2025 | M | 150,000 | 10/04-05:00/2024(4) | 10/04-05:00/2031 | Common Stock | 150,000 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $2 | 09/09-05:00/2025 | M | 12,000 | 04/04-05:00/2023(5) | 04/04-05:00/2032 | Common Stock | 12,000 | $ 0 | 0 | D | ||||
Employee Stock Option (right to buy) | $2 | 09/09-05:00/2025 | M | 135,000 | 06/10-05:00/2025(6) | 06/10-05:00/2032 | Common Stock | 135,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ainscow Robert C/O ASP ISOTOPES INC. 601 PENNSYLVANIA AVENUE NW SUITE 900 WASHINGTON, DC 20004 |
Chief Operating Officer |
/s/ Donald Ainscow, as attorney-in-fact | 09/10-05:00/2025 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents "sell to cover" sales effected pursuant to a Rule 10b5-1 trading plan adopted by the filing person on June 9, 2025 to cover tax withholding obligations in connection with the vesting of restricted stock awards. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.31 to $8.79, inclusive. The reporting person undertakes to provide ASP Isotopes Inc. (the "Company"), any stockholder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in Footnote 2. |
(3) | Represents shares withheld by the Company in connection with net share settlement to satisfy the exercise price associated with the reporting person's exercise of employee stock options. No shares were sold by the reporting person to satisfy the exercise price or any tax liability. |
(4) | These options vested in thirty-six equal installments beginning on the last day of month after the option's grant date. The option was granted on October 4, 2021. |
(5) | These options vested in a single installment 12 months after the grant date. The option was granted on April 4, 2022. |
(6) | These options vested in thirty-six equal installments beginning on the last day of month after the option's grant date. The option was granted on June, 10, 2022. |