Filing Details
- Accession Number:
- 0001179110-10-006811
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-09 13:00:00
- Reporting Period:
- 2010-04-09
- Filing Date:
- 2010-04-09
- Accepted Time:
- 2010-04-09 17:02:00
- 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 | 2010-04-09 | 10,000 | $3.83 | 459,993 | No | 4 | S | Direct | |
Common Stock | Disposition | 2010-04-09 | 20,000 | $3.84 | 746,000 | 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
- 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.
- 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.
- 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.