Ascent Solar (ASTI) awards CEO 350,000 stock options at $4.43

Rhea-AI Filing Summary

Ascent Solar Technologies granted Chief Executive Officer Paul P. Warley an option to acquire 350,000 shares of common stock. The options have an exercise price of $4.43 per share and were approved by the Board of Directors on July 2, 2026.

The award vests in three equal installments on July 31, 2027, July 31, 2028, and July 31, 2029, and any unvested portion will fully vest upon a change of control as defined in the company’s equity incentive plan. Following this grant, Warley holds 350,000 options under this award.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Warley Paul P.

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock Option (Right to buy)	350,000	$0.00	--

Holdings After Transaction: Common Stock Option (Right to buy) — 350,000 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

Option grant size: 350,000 options Exercise price: $4.43 per share Underlying shares: 350,000 shares +5 more

8 metrics

Option grant size 350,000 options Common Stock Option grant to CEO on July 2, 2026

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

Underlying shares 350,000 shares Common Stock underlying the granted options

Shares following transaction 350,000 options Total options from this award after grant

Expiration date July 1, 2036 Option expiration for the CEO grant

First vesting date July 31, 2027 First one-third of options vest

Second vesting date July 31, 2028 Second one-third of options vest

Third vesting date July 31, 2029 Final one-third of options vest

Key Terms

Common Stock Option (Right to buy), equity incentive plan, change of control, grant, award, or other acquisition, +1 more

5 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"

vest financial

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

A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those 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^*

Warley Paul P.

(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
X	Officer (give title below)		Other (specify below)
	Chief Executive 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		350,000		(2)	07/01/2036	Common Stock	350,000	$0.00	350,000	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/ Paul Warley	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) report for its CEO?

Ascent Solar reported that CEO Paul P. Warley received a grant of options for 350,000 shares of common stock. The options are a compensation award, not an open-market share purchase or sale, and give him the right to buy shares at a fixed exercise price.

What is the exercise price of the new ASTI stock options granted to the CEO?

The options granted to Ascent Solar’s CEO have an exercise price of $4.43 per share. This means he can buy up to 350,000 shares at $4.43, regardless of the future market price, once the options vest and before they expire.

When do the CEO’s 350,000 Ascent Solar (ASTI) options vest?

The 350,000 options vest in three equal installments: 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 between the CEO and shareholders.

When do the newly granted ASTI options to the CEO expire?

The options granted to Ascent Solar’s CEO expire on July 1, 2036. He must exercise any vested options before that date to acquire shares at the $4.43 exercise price; unexercised options after that date will lapse.

How many Ascent Solar (ASTI) options does the CEO hold after this grant?

Following this grant, CEO Paul P. Warley holds 350,000 options from this award. These options represent the right to buy 350,000 shares of Ascent Solar common stock if he chooses to exercise them once vested and before expiration.