Form 4 for ASTI Ascent Solar Technologies, Inc.

Accepted 2023-10-02 00:00:00 ET · period of report 2023-09-28 · accession 0001079973-23-001356 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2023-10-02	2023-09-28	ASTI	Peterson David Theodore JR	Dir	P - Purchase	$2.88	+12.2K	12.2K	New	+$35.0K
D	2023-10-02	2023-09-28	ASTI	Peterson David Theodore JR	Dir	P - Purchase	$0.00	+12.2K	12.2K	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-09-28	P	A	12,152	$2.88	12,152	D	—	—
2	Derivative	Warrants for Common Stock (right to buy)	2023-09-28	P	A	12,152	$0.00	12,152	D	$2.88 · 2023-09-28 to 2028-09-28	12,152 Common Stock	(F1) In connection with the Ascent Solar secondary public offering, 12,152 units were purchased on 9/28/2023 at the public offering price of $2.88 per unit. Each unit consisted of one share of common stock and one common stock warrant. Each common stock warrant has an exercise price of $2.88 per common share, and may be exercised at any time up to the five years from the date of issue.