Filing Details
- Accession Number:
- 0001179110-10-002202
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-02-05 12:00:00
- Reporting Period:
- 2010-02-03
- Filing Date:
- 2010-02-05
- Accepted Time:
- 2010-02-05 16:12:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1350102 | Ascent Solar Technologies Inc. | ASTI | Semiconductors & Related Devices (3674) | 203672603 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1322090 | Farhad Moghadam | C/O Ascent Solar Technologies, Inc. 12300 Grant Street Thornton CO 80241 | President And Ceo | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-02-03 | 32,480 | $0.00 | 46,480 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-02-04 | 11,010 | $4.13 | 35,470 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Acquisiton | 2010-02-03 | 32,480 | $0.00 | 32,480 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2010-02-03 | 32,480 | $0.00 | 32,480 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 32,480 | 2010-02-03 | 2010-02-03 | No | 4 | A | Direct |
| 0 | 2010-02-03 | 2010-02-03 | No | 4 | M | Direct |
Footnotes
- Represents restricted stock units that vested on February 3, 2010. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- Dr. Moghadam also holds the following derivative securities: unvested stock options to purchase 100,000 shares of common stock that expire on August 3, 2019; unvested stock options to purchase 200,000 shares of common stock that expire on August 3, 2019; 55,000 unvested restricted stock units that expire on August 3, 2011; and 35,000 unvested restricted stock units that expire on August 3, 2012. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
Billionaire Hedge Funds
