Ascent Solar director granted 95,000 stock options

Ascent Solar Technologies director Louis C. Berezovsky received a grant of stock options for 95,000 shares of Common Stock.

Rhea-AI Filing Summary

Ascent Solar Technologies director Louis C. Berezovsky received a grant of stock options for 95,000 shares of Common Stock. The options have an exercise price of $4.43 per share and expire on July 1, 2036. The grant was approved by the Board of Directors on July 2, 2026.

The 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. Any unvested portion will fully vest upon a change of control as defined in the company’s equity incentive plan. This is a compensation-related award rather than an open-market purchase.

Insider Trade Summary

Grant/Award: 95,000 shares

Grant/Award 1 txn

Insider Berezovsky Louis C.

Role Director

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

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

Footnotes (2)

1. F1. The option grant was approved by the Issuer's Board of Directors on July 2, 2026.
2. F2. 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 +3 more

6 metrics

Options granted 95,000 options Director grant of Common Stock Options

Exercise price $4.43 per share Conversion or exercise price of options

Expiration date July 1, 2036 Option term end date

Underlying shares 95,000 shares Common Stock underlying the options

Board approval date July 2, 2026 Option grant approved by Board of Directors

Vesting schedule 1/3 each in 2026, 2027, 2028 Installments on July 31, 2026/2027/2028

Key Terms

Common Stock Option (Right to buy), exercise price, vesting, change of control, +1 more

5 terms

Common Stock Option (Right to buy) financial

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

exercise price financial

"conversion_or_exercise_price: 4.4300"

The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.

vesting financial

"The 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.

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.

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.

FAQ

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

What insider transaction did Ascent Solar Technologies (ASTI) report for Louis C. Berezovsky?

Ascent Solar Technologies reported that director Louis C. Berezovsky received a grant of options for 95,000 shares of Common Stock. These options are a compensation award, not an open-market stock purchase, and give him the right to buy shares at a fixed exercise price.

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

The granted options have an exercise price of $4.43 per share and expire on July 1, 2036. This means Berezovsky can choose to buy up to 95,000 shares at $4.43 any time before that expiration date, subject to vesting.

How do Louis C. Berezovsky’s ASTI option grants vest over time?

The 95,000 ASTI options vest in three equal parts: one-third on July 31, 2026, one-third on July 31, 2027, and the final third on July 31, 2028. Vesting means portions of the grant become exercisable on those specific dates.

Was there a change of control provision in the ASTI option grant to Berezovsky?

Yes. Any outstanding and unvested options from this grant will accelerate and fully vest upon a change of control, as defined in Ascent Solar Technologies’ equity incentive plan. This protects the director’s award if the company is sold or undergoes a qualifying transaction.

Did Ascent Solar Technologies’ director buy ASTI shares on the market in this Form 4?

No. The Form 4 reports a grant of stock options, not an open-market share purchase. Berezovsky received options for 95,000 underlying shares as compensation, giving him potential future purchase rights at a fixed exercise price of $4.43.

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

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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^*

Berezovsky Louis 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/ Louis C. Berezovsky	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)