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Ascent Solar Technologies, Inc. — Director's Dealing 2007
Dec 22, 2007
35368_dirs_2007-12-21_85ea2a5d-5adc-452d-83d6-8a4d9ed1c002.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Ascent Solar Technologies, Inc. (ASTI)
CIK: 0001350102
Period of Report: 2007-12-20
Reporting Person: Foster Matthew (President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-12-20 | Common Stock | M | 5000 | $4.25 | Acquired | 110000 | Direct |
| 2007-12-20 | Common Stock | S | 200 | $18.62 | Disposed | 109800 | Direct |
| 2007-12-20 | Common Stock | S | 200 | $18.65 | Disposed | 109600 | Direct |
| 2007-12-20 | Common Stock | S | 430 | $18.66 | Disposed | 109170 | Direct |
| 2007-12-20 | Common Stock | S | 100 | $18.68 | Disposed | 109070 | Direct |
| 2007-12-20 | Common Stock | S | 1500 | $18.77 | Disposed | 107570 | Direct |
| 2007-12-20 | Common Stock | S | 270 | $18.98 | Disposed | 107300 | Direct |
| 2007-12-20 | Common Stock | S | 2300 | $19.45 | Disposed | 105000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2007-12-20 | Common Stock Option (Right to Buy) | $4.25 | M | 5000 | Disposed | 2016-02-27 | Common Stock (5000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 230 | Indirect |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 26, 2007.
F2: Mr. Foster's spouse also holds 430 Class B warrants.
F3: Of the remaining unvested options in this grant, options to purchase 14,286 shares vest on March 31, 2008 and September 30, 2008, and options to purchase 14,284 shares vest on March 31, 2009.
F4: Following this transaction, Mr. Foster also holds the following securities: vested options to purchase 42,144 shares of common stock that expire February 27, 2016; vested options (or options that will vest within 60 days) to purchase 10,000 shares of common stock that expire on November 18, 2015; unvested options to purchase 42,856 shares of common stock that expire February 27, 2016; unvested options to purchase 10,000 shares of common stock that expire on November 18, 2015; and unvested options to purchase 9,000 shares of common stock that expire on December 3, 2017.