Misra Mohan 4
4 · Ascent Solar Technologies, Inc. · Filed Aug 3, 2010
Insider Transaction Report
Form 4
Misra Mohan
DirectorChief Strategy Officer10% Owner
Transactions
- Exercise/Conversion
Common Stock
2010-08-01+50,000→ 479,993 total - Exercise/Conversion
Restricted Stock Units
2010-08-01−50,000→ 0 totalFrom: 2010-08-01Exp: 2010-08-01→ Common Stock (50,000 underlying)
Holdings
- 686,000(indirect: See Footnote 2)
Common Stock
Footnotes (4)
- [F1]Each restricted stock unit represents a contingent right to receive one share of common stock.
- [F2]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.
- [F3]Represents the remaining portion of an award of restricted stock units granted under the Issuer's Second Amended and Restated 2008 Restrticted Stock Plan on June 29, 2009, and that fully vested on August 1, 2010.
- [F4]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; and unvested options to purchase 40,000 shares of common stock that expire on December 2, 2018.