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Ascent Solar Technologies, Inc. — Director's Dealing 2008
Feb 21, 2008
35368_dirs_2008-02-21_14d4eec5-bfa0-4a6c-98c2-7d2579640110.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: 2008-02-19
Reporting Person: Armstrong Joseph H (Vice President and CTO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2008-02-19 | Common Stock | M | 1000 | $4.25 | Acquired | 50333 | Direct |
| 2008-02-19 | Common Stock | S | 6 | $16.55 | Disposed | 50327 | Direct |
| 2008-02-19 | Common Stock | S | 13 | $16.56 | Disposed | 50314 | Direct |
| 2008-02-19 | Common Stock | S | 65 | $16.59 | Disposed | 50249 | Direct |
| 2008-02-19 | Common Stock | S | 32 | $16.61 | Disposed | 50217 | Direct |
| 2008-02-19 | Common Stock | S | 6 | $16.62 | Disposed | 50211 | Direct |
| 2008-02-19 | Common Stock | S | 32 | $16.65 | Disposed | 50179 | Direct |
| 2008-02-19 | Common Stock | S | 13 | $16.66 | Disposed | 50166 | Direct |
| 2008-02-19 | Comon Stock | S | 6 | $16.67 | Disposed | 50160 | Direct |
| 2008-02-19 | Common Stock | S | 20 | $16.69 | Disposed | 50140 | Direct |
| 2008-02-19 | Common Stock | S | 26 | $16.70 | Disposed | 50114 | Direct |
| 2008-02-19 | Common Stock | S | 50 | $16.71 | Disposed | 50064 | Direct |
| 2008-02-19 | Common Stock | S | 15 | $16.72 | Disposed | 50049 | Direct |
| 2008-02-19 | Common Stock | S | 78 | $16.73 | Disposed | 49971 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2008-02-19 | Common Stock Option (Right to Buy) | $4.25 | M | 1000 | Disposed | 2016-02-27 | Common Stock (1000) | Direct |
Footnotes
F1: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 26, 2007.
F2: Of the remaining unvested options in this grant, options to purchase 3,572 vest on March 31, 2008 and September 30, 2008, and options to purchase 3,568 vest on March 31, 2009.
F3: Following this transaction, Dr. Armstrong also holds the following securities: vested options (or options that will vest within 60 days) to purchase 10,860 shares of common stock that expire February 27, 2016; vested options to purchase 500 shares of common stock that expire November 11, 2015; unvested options to purchase 7,140 shares of common stock that expire February 27, 2016; unvested options to purchase 8,500 shares of common stock that expire on November 18, 2015; and unvested options to purchase 5,000 shares of common stock that expire on December 3, 2017.