Peterson David Theodore JR's Form 4 filing
Ascent Solar Technologies, Inc. (ASTI) · filed Oct 2, 2023
- Accession no.
- 0001079973-23-001356
- Filed
- Oct 2, 2023
- Trade date
- Sep 28, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 1 derivative transaction. Open-market purchases total $35.0K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Peterson David Theodore JRCIK 0001835487 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2023 | Common Stock | PPurchaseAcquired | +12,152 | $2.88 | +$34,997.76 | 12,152 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 28, 2023 | Common Stock | PPurchaseAcquired | +12,152 | $0.00F1 | $0 | 12,152 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
In connection with the Ascent Solar secondary public offering, 12,152 units were purchased on 9/28/2023 at the public offering price of $2.88 per unit. Each unit consisted of one share of common stock and one common stock warrant. Each common stock warrant has an exercise price of $2.88 per common share, and may be exercised at any time up to the five years from the date of issue.
Referenced by the price of 1 transaction in Table II.