Ascent Solar director exercises 10,000 stock options

Ascent Solar Technologies, Inc. director Forrest T. Reynolds reported routine equity compensation activity.

Rhea-AI Filing Summary

Ascent Solar Technologies, Inc. director Forrest T. Reynolds reported routine equity compensation activity. He exercised employee stock options to acquire 10,000 shares of common stock at $1.63 per share. To satisfy tax obligations, 2,407 shares were withheld at $6.77 per share, leaving him with 36,248 common shares held directly after these transactions.

Insider Trade Summary

10,000 shares exercised/converted

Exercise 3 txns

Insider Forrest Reynolds T.

Role Director

Type	Security	Shares	Price	Value
Exercise	Employee Stock Option (right to buy)	10,000	$0.00	$0.00
Exercise	Common Stock	10,000	$1.63	$16K
Exercise Price or Tax Liability	Common Stock	2,407	$6.77	$16K

Holdings After Transaction: Employee Stock Option (right to buy) — 20,000 contracts (Direct); Common Stock — 36,248 shares (Direct)

Key Figures

Options exercised: 10,000 shares Option exercise price: $1.63 per share Tax-withheld shares: 2,407 shares +4 more

7 metrics

Options exercised 10,000 shares Employee stock option exercise into common stock

Option exercise price $1.63 per share Exercise price for 10,000 options into common stock

Tax-withheld shares 2,407 shares Shares delivered for tax liability at $6.77 per share

Tax-withholding price $6.77 per share Value used for 2,407-share tax-withholding disposition

Post-transaction holdings 36,248 shares Common shares held directly after reported transactions

Remaining options 20,000 options Employee stock options following derivative transaction

Option expiration June 1, 2035 Expiration date for the employee stock option grant

Key Terms

Employee Stock Option (right to buy), tax-withholding disposition, derivative exercise/conversion, Exercise or conversion of derivative security

4 terms

Employee Stock Option (right to buy) financial

"security_title: Employee Stock Option (right to buy)"

tax-withholding disposition financial

"transaction_action: tax-withholding disposition"

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

derivative exercise/conversion financial

"transaction_action: derivative exercise/conversion"

Exercise or conversion of derivative security financial

"transaction_code_description: Exercise or conversion of derivative security"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Ascent Solar (ASTI) director Forrest T. Reynolds report in this Form 4?

Forrest T. Reynolds reported exercising options and a related tax withholding. He acquired 10,000 common shares by exercising employee stock options and had 2,407 shares withheld at $6.77 per share to cover tax obligations.

How many Ascent Solar (ASTI) shares does Forrest T. Reynolds own after these transactions?

After the reported transactions, Forrest T. Reynolds holds 36,248 shares of Ascent Solar common stock directly. This figure reflects the option exercise and the 2,407-share withholding to satisfy tax liabilities associated with the equity compensation event.

At what price did the Ascent Solar (ASTI) director exercise his stock options?

The director exercised employee stock options at a price of $1.63 per share. These options covered 10,000 underlying common shares, representing the conversion of derivative securities into directly held Ascent Solar common stock on the reported transaction date.

What does the tax-withholding transaction mean in this Ascent Solar (ASTI) Form 4?

The Form 4 shows a tax-withholding disposition of 2,407 common shares at $6.77 per share. This indicates shares were delivered back to the issuer to pay tax obligations arising from the option exercise, rather than an open-market sale by the director.

Were any open-market purchases or sales of Ascent Solar (ASTI) shares reported?

No open-market purchases or sales were reported. The filing shows an option exercise to acquire 10,000 shares and a 2,407-share tax-withholding disposition, both categorized as equity compensation-related events rather than discretionary market trades.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/28/2026 - 07:22 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Forrest Reynolds T.

(Last) (First) (Middle)

C/O ASCENT SOLAR TECHNOLOGIES, INC.

12300 GRANT STREET

(Street)

THORNTON COLORADO 80241

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Ascent Solar Technologies, Inc. [ ASTI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/28/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/28/2026		M		10,000	A	$1.63	38,655	D
Common Stock	05/28/2026		F		2,407	D	$6.77	36,248	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	$1.63	05/28/2026		M			10,000	06/20/2025	06/01/2035	Common Stock	10,000	$0.00	20,000	D

Explanation of Responses:

	/s/ Forrest T. Reynolds	05/28/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)