Filing Details
- Accession Number:
- 0001181431-11-001424
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-04 20:10:59
- Reporting Period:
- 2010-12-31
- Filing Date:
- 2011-01-04
- Accepted Time:
- 2011-01-04 20:10:59
- 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 |
|---|---|---|---|---|---|---|---|
| 1466314 | Ron Eller | C/O Ascent Solar Technologies, Inc. 12300 Grant Street Thornton CO 80241 | Yes | No | 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 | 2010-12-31 | 3,113 | $0.00 | 11,594 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-01-03 | 1,600 | $3.43 | 9,994 | 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 | Disposition | 2010-12-31 | 3,113 | $0.00 | 3,113 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2011-01-04 | 15,772 | $0.00 | 15,772 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 15,772 | No | 4 | A | Direct |
Footnotes
- Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- The shares were sold pursuant to a sales plan adopted by the reporting person on January 13, 2010 and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.41 to $3.44, inclusive. The reporting person undertakes to provide to the issuer, any shareholder of the issuer, 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 this footnote.
- The restricted stock units vest in four equal installments on the last day of each fiscal quarter in 2010.
- The restricted stock units vest in four equal installments on the last day of each fiscal quarter in 2011.
Billionaire Hedge Funds
