Director at Ascent Solar (ASTI) receives 100,000-share stock option grant

Rhea-AI Filing Summary

Ascent Solar Technologies granted director David Theodore Peterson Jr. a stock option covering 100,000 shares of common stock as equity compensation. The option has a $4.43 per-share exercise price and expires on July 1, 2036. One-third of the shares vest on July 31, 2026, another third on July 31, 2027, and the final third on July 31, 2028. Any unvested portion will fully vest if a change of control occurs under the company’s equity incentive plan.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Peterson David Theodore JR

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock Option (Right to buy)	100,000	$0.00	--

Holdings After Transaction: Common Stock Option (Right to buy) — 100,000 shares (Direct, null)

Footnotes (1)

1. The option grant was approved by the Issuer's Board of Directors on July 2, 2026. The shares subject to the option grant vest in the following amounts on the following dates: 1/3 - 7/31/26, 1/3 - 7/31/27, 1/3 - 7/31/28. 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).

Key Figures

Option grant size: 100,000 shares Exercise price: $4.43 per share Expiration date: July 1, 2036 +2 more

5 metrics

Option grant size 100,000 shares Common stock underlying new director option grant

Exercise price $4.43 per share Strike price for director stock option

Expiration date July 1, 2036 Option term end for director grant

Post-transaction derivative holdings 100,000 options Total options held following this grant

Initial vesting date July 31, 2026 First one-third of options vest

Key Terms

Common Stock Option (Right to buy), equity incentive plan, change of control, vest

4 terms

Common Stock Option (Right to buy) financial

"security_title: Common Stock Option (Right to buy)"

equity incentive plan financial

"as defined in the Company's equity incentive plan"

An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.

change of control financial

"will also accelerate and fully vest upon a change of control"

A change of control occurs when the ownership or management of a company shifts significantly, such as through a sale, merger, or acquisition, resulting in new leadership or ownership structure. This change can impact the company's direction and decision-making, which is important for investors because it may affect the company's stability, strategy, and future prospects.

vest financial

"shares subject to the option grant vest in the following amounts"

A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/06/2026 - 04:31 PM Accepted by SEC EDGAR 07/06/2026 - 04:30 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^*

Peterson David Theodore JR

(Last) (First) (Middle)

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)
07/02/2026

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

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
Common Stock Option (Right to buy)	$4.43	07/02/2026(1)		A		100,000		(2)	07/01/2036	Common Stock	100,000	$0.00	100,000	D

Explanation of Responses:

1. The option grant was approved by the Issuer's Board of Directors on July 2, 2026.

2. The shares subject to the option grant vest in the following amounts on the following dates: 1/3 - 7/31/26, 1/3 - 7/31/27, 1/3 - 7/31/28. 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).

	/s/ David Peterson	07/06/2026
	** 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)

FAQ

What did Ascent Solar Technologies (ASTI) disclose in this Form 4 filing?

Ascent Solar disclosed that director David Theodore Peterson Jr. received a stock option grant for 100,000 shares of common stock as equity-based compensation, with specific vesting dates and a defined exercise price and expiration under the company’s equity incentive plan.

How many Ascent Solar (ASTI) shares are covered by the new option grant?

The option grant covers 100,000 shares of Ascent Solar common stock. These are underlying shares that may be purchased upon exercise of the option, subject to vesting conditions and the $4.43 per-share exercise price set in the award.

What is the exercise price and expiration date of the ASTI director’s option grant?

The stock option has a $4.43 per-share exercise price and expires on July 1, 2036. This means the director may choose to buy shares at $4.43 any time after vesting and before the option’s 2036 expiration date, subject to plan terms.

How do the Ascent Solar (ASTI) director options vest over time?

The option vests in three equal installments: one-third of the shares on July 31, 2026, one-third on July 31, 2027, and the final third on July 31, 2028. Vesting must occur before the director can exercise each portion of the award.

What happens to the ASTI option grant if there is a change of control?

Any outstanding and unvested portion of the option will accelerate and fully vest upon a change of control, as defined in Ascent Solar’s equity incentive plan. This provision allows the director to fully benefit from the option if such a transaction occurs.

Was the Ascent Solar (ASTI) option grant approved by the board of directors?

Yes. A footnote states that the option grant to director David Theodore Peterson Jr. was approved by Ascent Solar’s Board of Directors on July 2, 2026. This indicates the award was authorized through the company’s normal governance process.