Ascent Solar (ASTI) COO awarded 175,000 stock options at $4.43

Rhea-AI Filing Summary

Ascent Solar Technologies reported that Chief Operating Officer Bobby Gulati received a grant of stock options. The award covers 175,000 options to buy common stock at an exercise price of $4.43 per share, bringing his reported option holdings to 175,000.

The options were approved by the board on July 2, 2026 and expire on July 1, 2036. They vest in three equal installments on July 31 of 2027, 2028, and 2029, with any unvested portion fully vesting if a change of control occurs under the company’s equity incentive plan.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Gulati Bobby

Role Chief Operating 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 +4 more

7 metrics

Options granted 175,000 options Common Stock Option grant to COO on July 2, 2026

Exercise price $4.43 per share Conversion or exercise price for granted options

Expiration date July 1, 2036 Options expire on this date

Post‑grant holdings 175,000 options Total options held following the transaction

First vesting installment 1/3 of 175,000 Vests on July 31, 2027 under vesting schedule

Second vesting installment 1/3 of 175,000 Vests on July 31, 2028 under vesting schedule

Third vesting installment 1/3 of 175,000 Vests on July 31, 2029 under vesting schedule

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

"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.

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^*

Gulati Bobby

(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 Operating 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/ Bobby Gulati	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) report in this Form 4 filing?

Ascent Solar reported that COO Bobby Gulati received a grant of 175,000 stock options. These options give him the right to buy common shares at $4.43 each, subject to multi‑year vesting and an expiration date in 2036.

How many stock options did Ascent Solar COO Bobby Gulati receive?

Bobby Gulati received 175,000 stock options for Ascent Solar common stock. All 175,000 options are reported as held after the transaction, reflecting this compensation award rather than a market purchase or sale of existing shares.

What is the exercise price and term of the new Ascent Solar options?

The granted options have an exercise price of $4.43 per share and expire on July 1, 2036. This means Gulati can buy Ascent Solar common shares at $4.43 once options vest, any time before the 2036 expiration.

How do the Ascent Solar options granted to the COO vest over time?

The 175,000 options vest in three equal installments over three years. One‑third vests on July 31, 2027, another third on July 31, 2028, and the final third on July 31, 2029, aligning the award with longer‑term employment and performance.

What happens to the COO’s Ascent Solar options if there is a change of control?

Any outstanding and unvested options will accelerate and fully vest upon a change of control, as defined in Ascent Solar’s equity incentive plan. This provision ensures the COO’s award is not forfeited if the company is sold or merged.

Is the Ascent Solar Form 4 transaction a stock purchase or sale by the COO?

The Form 4 shows a grant of derivative securities, not an open‑market trade. It is classified as a grant or award acquisition of options, with no reported share purchases or sales in the market by the COO in this filing.