Warley Paul P.'s Form 4 filing
Ascent Solar Technologies, Inc. (ASTI) · filed Oct 21, 2024
- Accession no.
- 0001079973-24-001429
- Filed
- Oct 21, 2024
- Trade date
- Oct 17, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 derivative transaction. 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 |
|---|---|
| Warley Paul P.CIK 0001957757 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 17, 2024 | Series 1C Convertible Preferred Stock | PPurchaseAcquired | +55 | $0.00F1 | $0 | 55 | 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
On October 17, 2024, the Reporting Person purchased 55 shares of the Company's newly issued Series 1C convertible preferred stock at a purchase price of $1,000 per Series 1C share. The Series 1C preferred stock is convertible into common stock beginning on 4/18/2025 at a per share conversion price of $2.50 per common share.
Referenced by the price of 1 transaction in Table II.