Ascent Solar (ASTI) CFO awarded 175,000 options at $4.43 strike price

Rhea-AI Filing Summary

Ascent Solar Technologies reported that Chief Financial Officer Jo Jin H. received a grant of options to buy 175,000 shares of common stock. The options have an exercise price of $4.43 per share and expire on July 1, 2036.

The award vests in three equal installments: one-third on July 31, 2027, one-third on July 31, 2028, and one-third on July 31, 2029. Any unvested options 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 Jo Jin H.

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock Option (Right to buy)	175,000	$0.00	--

Holdings After Transaction: Common Stock Option (Right to buy) — 175,000 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 - 7/31/27, 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).

Key Figures

Options granted: 175,000 options Exercise price: $4.43 per share Expiration date: July 1, 2036 +3 more

6 metrics

Options granted 175,000 options Common Stock Option grant to CFO Jo Jin H.

Exercise price $4.43 per share Strike price for granted options

Expiration date July 1, 2036 Option term end date

Vesting 1 One-third of 175,000 Vests July 31, 2027

Vesting 2 One-third of 175,000 Vests July 31, 2028

Vesting 3 One-third of 175,000 Vests July 31, 2029

Key Terms

Common Stock Option, equity incentive plan, change of control, vesting

4 terms

Common Stock Option financial

"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

"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.

vesting financial

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

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

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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^*

Jo Jin H.

(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)

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

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		175,000		(2)	07/01/2036	Common Stock	175,000	$0.00	175,000	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 - 7/31/27, 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).

	/s/ Jin H. Jo	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 (ASTI) disclose about its CFO in this Form 4?

Ascent Solar disclosed that CFO Jo Jin H. received a grant of options for 175,000 shares of common stock at an exercise price of $4.43 per share, expiring on July 1, 2036.

How many Ascent Solar (ASTI) stock options were granted to the CFO and at what price?

The CFO received 175,000 stock options for Ascent Solar common shares. These options have an exercise price of $4.43 per share, meaning the CFO can buy shares at that price once the options vest, regardless of future market levels.

What is the vesting schedule for the Ascent Solar (ASTI) CFO’s option grant?

The option grant vests in three equal parts: one-third on July 31, 2027, one-third on July 31, 2028, and one-third on July 31, 2029. This staggered schedule encourages long-term alignment with the company’s performance and retention.

When do the Ascent Solar (ASTI) CFO stock options expire?

The CFO’s stock options expire on July 1, 2036. After that date, any unexercised options become worthless. This long-dated expiration gives the executive many years to potentially benefit from future share price appreciation if the options vest.

What happens to the Ascent Solar (ASTI) CFO’s options if there is a change of control?

If a change of control occurs, any outstanding and unvested options for the CFO will accelerate and fully vest, as defined in the company’s equity incentive plan. This provision protects the executive’s compensation in a potential sale or merger.

Is the Ascent Solar (ASTI) CFO’s Form 4 transaction a market purchase or sale?

The Form 4 shows a grant/award acquisition of options, not an open-market trade. The CFO did not buy or sell shares in the market; instead, the company awarded options with an exercise price of $4.43 as part of compensation.