SEC Form 4 · accession 0001079973-26-000921
Ascent Solar Technologies, Inc. · ASTI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul P. Warley
Officer — Chief Executive Officer · Director
Period of report
Jul 2, 2026
Accepted (ET)
Jul 6, 2026 · 4:30 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001350102
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Option (Right to buy)F1,F2 | $4.43 | Jul 2, 2026 | A | 350,000 | A | — | Jul 1, 2036 | Common Stock | 350,000 | 350,000 | D |
Explanation of responses
- F1The option grant was approved by the Issuer's Board of Directors on July 2, 2026.
- F2The shares subject to the option grant vest in the following amounts on the following dates: 1/3 - 7/31/27, 1/3 - 7/31/28, 1/3 - 7/31/29. Any outstanding and unvested options will also accelerate and fully vest upon a change of control (as defined in the Company's equity incentive plan).