AI assistant
Ascent Solar Technologies, Inc. — Director's Dealing 2008
Feb 21, 2008
35368_dirs_2008-02-20_5fccfe6d-de0f-4077-879c-9cf3632269f8.zip
Director's Dealing
Open in viewerOpens in your device viewer
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: Casteel Janet (Chief Accounting Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2008-02-19 | Common Stock | M | 2428 | $4.25 | Acquired | 19428 | Direct |
| 2008-02-19 | Common Stock | S | 16 | $16.55 | Disposed | 19412 | Direct |
| 2008-02-19 | Common Stock | S | 31 | $16.56 | Disposed | 19381 | Direct |
| 2008-02-19 | Common Stock | S | 157 | $16.59 | Disposed | 19224 | Direct |
| 2008-02-19 | Common Stock | S | 79 | $16.61 | Disposed | 19145 | Direct |
| 2008-02-19 | Common Stock | S | 16 | $16.62 | Disposed | 19129 | Direct |
| 2008-02-19 | Common Stock | S | 79 | $16.65 | Disposed | 19050 | Direct |
| 2008-02-19 | Common Stock | S | 31 | $16.66 | Disposed | 19019 | Direct |
| 2008-02-19 | Common Stock | S | 16 | $16.67 | Disposed | 19003 | Direct |
| 2008-02-19 | Common Stock | S | 47 | $16.69 | Disposed | 18956 | Direct |
| 2008-02-19 | Common Stock | S | 63 | $16.70 | Disposed | 18893 | Direct |
| 2008-02-19 | Common Stock | S | 120 | $16.71 | Disposed | 18773 | Direct |
| 2008-02-19 | Common Stock | S | 37 | $16.72 | Disposed | 18736 | Direct |
| 2008-02-19 | Common Stock | S | 189 | $16.73 | Disposed | 18547 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2008-02-19 | Common Stock | $4.25 | M | 2428 | Disposed | 2016-02-27 | Common Stock (2428) | 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 remaing unvested options in this grant, options to purchase 3,572 shares vest on March 31, 2008 and September 30, 2008, and options to purchase 3,568 shares vest on March 31, 2009.
F3: Following this transaction, Ms. Casteel holds the following securities: vested options to purchase 9,431 that expire on February 27, 2016; vested options to purchase 7,000 shares of common stock that expire on November 18, 2015; unvested options to purchase 7,141 shares of common stock that expire on February 27, 2016; unvested options to purchase 6,000 shares of common stock that expire on November 18, 2015; and unvested options to purchase 7,500 shares of common stock that expire on December 3, 2017.