Ascent Solar (ASTI) director receives 95,000-stock option grant vesting through 2028

Rhea-AI Filing Summary

Ascent Solar Technologies, Inc. reported that director Gregory C. Thompson received a grant of stock options covering 95,000 shares of common stock. The options have an exercise price of $4.43 per share and were approved by the board on July 2, 2026. One-third of the options vest on July 31 of 2026, 2027, and 2028, with any unvested portion accelerating upon a change of control under the company’s equity incentive plan. Following this grant, Thompson holds 95,000 options directly.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider THOMPSON GREGORY C

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Stock Option (Right to buy)	95,000	$0.00	--

Holdings After Transaction: Common Stock Option (Right to buy) — 95,000 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

Options granted: 95,000 options Exercise price: $4.43 per share Expiration date: July 1, 2036 +4 more

7 metrics

Options granted 95,000 options Common Stock Option grant to director on July 2, 2026

Exercise price $4.43 per share Exercise price for 95,000 stock options

Expiration date July 1, 2036 Option expiration for the 95,000-share grant

Post-grant option holdings 95,000 options Total options held directly by Thompson after this grant

2026 vesting tranche 31,667 options One-third of grant vests on July 31, 2026

2027 vesting tranche 31,667 options One-third of grant vests on July 31, 2027

2028 vesting tranche 31,666 options Remaining third of grant vests on July 31, 2028

Key Terms

Common Stock Option (Right to buy), equity incentive plan, change of control, Grant, award, or other acquisition

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

"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.

Grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

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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^*

THOMPSON GREGORY C

(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)
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		95,000		(2)	07/01/2036	Common Stock	95,000	$0.00	95,000	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/ Gregory C. Thompson	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 insider transaction did Ascent Solar (ASTI) disclose in this Form 4?

Ascent Solar disclosed a stock option grant to director Gregory C. Thompson for 95,000 shares of common stock at a $4.43 exercise price. The award is part of his compensation and vests over three years with potential acceleration on a change of control.

How many Ascent Solar (ASTI) options were granted to Gregory C. Thompson?

Gregory C. Thompson was granted options on 95,000 shares of Ascent Solar common stock. These options give him the right to buy shares at a fixed $4.43 exercise price if and when they vest under the stated schedule and plan terms.

What is the exercise price and expiration date of the ASTI options granted?

The granted options have a $4.43 per share exercise price and expire on July 1, 2036. This means Thompson can choose to exercise vested options at $4.43 any time before that expiration, subject to the equity incentive plan’s rules and continued service conditions.

What is the vesting schedule for Gregory C. Thompson’s Ascent Solar options?

The 95,000 options vest in three equal installments: one-third on July 31, 2026, one-third on July 31, 2027, and one-third on July 31, 2028. Unvested options may fully vest earlier if a change of control occurs under the company’s equity incentive plan.

Does the Ascent Solar Form 4 mention any change of control protection for this grant?

Yes. Any outstanding and unvested options from this 95,000-share grant will accelerate and fully vest upon a change of control, as defined in Ascent Solar’s equity incentive plan. This provision can allow earlier vesting if the company is sold or undergoes a qualifying transaction.

Who approved the stock option grant reported for Ascent Solar (ASTI)?

The footnotes state that Ascent Solar’s Board of Directors approved the option grant on July 2, 2026. Board approval indicates the award was made under the company’s established compensation and governance processes, consistent with its equity incentive plan for directors and officers.