Ascent Solar director sells shares after option exercise

Ascent Solar Technologies director Forrest T. Reynolds reported a combination of option exercise, tax withholding, and share sale.

Rhea-AI Filing Summary

Ascent Solar Technologies director Forrest T. Reynolds reported a combination of option exercise, tax withholding, and share sale. He exercised employee stock options covering 10,000 shares of common stock at an exercise price of $1.63 per share.

To cover related obligations, 2,071 shares were disposed of as a tax-withholding transaction. On the same date, he completed an open-market sale of 7,843 common shares at $9.15 per share. After these transactions, Reynolds directly owned 36,334 shares of Ascent Solar common stock.

Insider Trade Summary

Exercise and sale activity reported; no spread calculated

Exercise and Sale 4 txns

Insider Forrest Reynolds T.

Role Director

Sold 7,843 shs ($72K)

Approx. gross sale proceeds $72K

Approx. exercise cost $16K

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	2,071	$7.87	$16K
Sale	Common Stock	7,843	$9.15	$72K

Holdings After Transaction: Employee Stock Option (right to buy) — 10,000 contracts (Direct); Common Stock — 36,334 shares (Direct)

Key Figures

Open-market sale: 7,843 shares at $9.15 Options exercised: 10,000 shares at $1.63 Tax-withholding shares: 2,071 shares at $7.87 +2 more

5 metrics

Open-market sale 7,843 shares at $9.15 Common Stock sale on 2026-05-29

Options exercised 10,000 shares at $1.63 Employee Stock Option exercise on 2026-05-29

Tax-withholding shares 2,071 shares at $7.87 Tax-withholding disposition on 2026-05-29

Shares owned after 36,334 shares Direct common stock holdings after transactions

Option expiration June 1, 2035 Employee Stock Option expiration date

Key Terms

open-market sale, tax-withholding disposition, Employee Stock Option (right to buy), derivative security

4 terms

open-market sale financial

"transaction_action: open-market sale"

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

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.

Employee Stock Option (right to buy) financial

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

derivative security financial

"transaction_code_description: Exercise or conversion of derivative security"

A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.

FAQ

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

What insider transactions did Ascent Solar (ASTI) director Forrest T. Reynolds report?

Director Forrest T. Reynolds exercised options for 10,000 Ascent Solar shares, had 2,071 shares withheld for taxes, and sold 7,843 shares in an open-market transaction. These moves changed the mix but not the existence of his equity stake.

How many Ascent Solar (ASTI) shares did the director sell and at what price?

Reynolds sold 7,843 shares of Ascent Solar common stock in an open-market transaction at $9.15 per share. This sale occurred alongside an option exercise and related tax-withholding disposition on the same transaction date.

What options did the Ascent Solar (ASTI) director exercise in this Form 4?

He exercised employee stock options covering 10,000 shares of Ascent Solar common stock at an exercise price of $1.63 per share. This converted a derivative position into directly held shares before the tax withholding and open-market sale.

How many Ascent Solar (ASTI) shares does the director hold after these transactions?

Following the option exercise, tax withholding, and share sale, Reynolds directly owned 36,334 shares of Ascent Solar common stock. This figure reflects his post-transaction direct holdings reported in the Form 4 filing data.

Were any Ascent Solar (ASTI) shares used to cover tax obligations in this filing?

Yes. The Form 4 shows a tax-withholding disposition of 2,071 Ascent Solar common shares at $7.87 per share. This type F transaction indicates shares were delivered to satisfy tax liabilities associated with the equity compensation event.

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

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Accepted by SEC EDGAR 06/01/2026 - 05:00 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)
05/29/2026

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	05/29/2026		M		10,000	A	$1.63	46,248	D
Common Stock	05/29/2026		F		2,071	D	$7.87	44,177	D
Common Stock	05/29/2026		S		7,843	D	$9.15	36,334	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	05/29/2026		M			10,000	05/28/2026	06/01/2035	Common Stock	10,000	$0.00	10,000	D

Explanation of Responses:

	/s/ Forrest T. Reynolds	06/01/2026
	** 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)