Filing Details

Accession Number:
0001179110-10-002956
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-02-16 12:00:00
Reporting Period:
2010-02-16
Filing Date:
2010-02-16
Accepted Time:
2010-02-16 21:22:05
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
1368057 Mohan Misra C/O Ascent Solar Technologies, Inc.
12300 Grant Street
Thornton CO 80241
Chief Strategy Officer Yes 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 Disposition 2010-02-16 10,000 $4.45 479,993 No 4 S Direct
Common Stock Disposition 2010-02-16 20,000 $4.45 786,000 No 4 S Indirect See Footnote 3
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Indirect See Footnote 3
Footnotes
  1. The transactions reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by the reporting person and ITN Energy Systems, Inc. on January 13, 2010.
  2. Dr. Misra also directly holds the following derivative securities: vested options to purchase 50,000 shares of common stock that expire on November 18, 2015; vested options to purchase 40,000 shares of common stock that expire on December 2, 2018; unvested options to purchase 40,000 shares of common stock that expire on December 2, 2018; and 50,000 unvested restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
  3. Dr. Misra indirectly holds the shares of the Issuer's common stock held by ITN Energy Systems, Inc., which is wholly owned by Inica, Inc., a Colorado corporation that is owned by Dr. Misra and an immediate family member.