Filing Details
- Accession Number:
- 0001179110-10-006274
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-01 13:00:00
- Reporting Period:
- 2010-03-31
- Filing Date:
- 2010-04-01
- Accepted Time:
- 2010-04-01 16:38:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1350102 | Ascent Solar Technologies Inc. | ASTI | Semiconductors & Related Devices (3674) | 203672603 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1368058 | Fraser Tw Russell | C/O Ascent Solar Technologies, Inc. 8120 Shaffer Parkway Littleton CO 80127 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-03-31 | 1,792 | $0.00 | 31,574 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-04-01 | 1,000 | $3.88 | 30,574 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2010-03-31 | 1,792 | $0.00 | 1,792 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,376 | No | 4 | M | Direct |
Footnotes
- These restricted stock units vest quarterly in 2010. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- This transaction was effected pursuant to Rule 10b5-1 trading plan adopted by the reporting person on January 20, 2010.
- In addition to the restricted stock units, Dr. Russell holds vested options to purchase 8,000 shares of common stock that expire November 18, 2015.
Billionaire Hedge Funds
