Paul Warley - Sep 28, 2023 Form 4 Insider Report for Ascent Solar Technologies, Inc. (ASTI)

Role
Chief Executive Officer
Signature
/s/ Paul D. Warley
Stock symbol
ASTI
Transactions as of
Sep 28, 2023
Transactions value $
$99,999
Form type
4
Date filed
10/2/2023, 04:50 PM
Previous filing
Dec 12, 2022
Next filing
Jan 19, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ASTI Common Stock Purchase $100K +34.7K +992.06% $2.88* 38.2K Sep 28, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ASTI Warrants for Common Stock (right to buy) Purchase $0 +34.7K $0.00 34.7K Sep 28, 2023 Common Stock 34.7K $2.88 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 In connection with the Ascent Solar secondary public offering, 34,722 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.