Misra Mohan 4
4 · Ascent Solar Technologies, Inc. · Filed Jul 16, 2010
Insider Transaction Report
Form 4
Misra Mohan
DirectorChief Strategy Officer10% Owner
Transactions
- Sale
Common Stock
2010-07-14$2.56/sh−10,000$25,638→ 429,993 total - Sale
Common Stock
2010-07-14$2.56/sh−20,000$51,276→ 686,000 total(indirect: See Footnote 3)
Footnotes (3)
- [F1]The transactions reported in this Form 4 were effected pursuant to Rule 10b5-1 trading plans adopted by the reporting person and ITN Energy Systems, Inc. on January 13, 2010.
- [F2]Dr. Misra also directly holds the following derivative securities: vested options to purchase 50,000 shares of common stock that expire on November 18, 2015; vested options to purchase 40,000 shares of common stock that expire on December 2, 2018; unvested options to purchase 40,000 shares of common stock that expire on December 2, 2018; and 50,000 unvested restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- [F3]Dr. Misra indirectly holds the shares of the Issuer's common stock held by ITN Energy Systems, Inc., which is wholly owned by Inica, Inc., a Colorado corporation that is owned by Dr. Misra and an immediate family member.