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ASTI · Ascent Solar Technologies, Inc. · Holdings

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$1.50 +0.10 (+7.14%)
Rebalance outlook locked
Going-concern doubt — flagged Aug 6, 2026

Substantial doubt about the company's ability to continue as a going concern.

“As a result of the Company’s recurring losses from operations, and the need for additional financing to fund its operating and capital requirements, there is uncertainty regarding the Company’s ability to maintain liquidity sufficient to operate its business effectively, which raises substantial doubt as to the Company’s ability to continue as a going concern.”
View the 10-Q filed Aug 6, 2026
Market Cap
$13.74M
Shares
9.82M
Volume · Nov 3 132.3K Avg daily vol (3M) 279.32K

Institutional ownership from SEC Form 13F filings. Investment managers with more than $100 million in U.S. equities must disclose their positions every quarter, within 45 days of quarter-end, so the holdings shown can lag the market by up to a quarter.

Use institutional holdings through the 13F API or MCP → See every holder of ASTI: 13F, 13D and 13G, insiders and funds →
The Sep 30, 2026 filing window is still open — showing the latest known positions. Funds that have not filed yet carry their prior-quarter positions; a fund that filed without this stock counts as sold out. Each fund's Change is measured against its own previous reported quarter, shown in the Reported column. Pick a completed quarter in the Quarter selector below to put every fund on one quarter and see the stock-wide activity breakdown.
Holders: 40
Total Value: $10,265,331
Total Shares: 2,065,556

Institutional Ownership Trend

19 quarters

Holder Concentration

Across 39 13F filers
Top Holder
18.7%
Sep 2023 → Jun 2026 · range 16.9% – 90.7%
of institutional value
Top 5
72.7%
Sep 2023 → Jun 2026 · range 67.2% – 100.0%
of institutional value
Top 10
89.6%
Sep 2023 → Jun 2026 · range 89.6% – 100.0%
of institutional value
HHI
1,243
Sep 2023 → Jun 2026 · range 1,192 – 8,314
Broadly held

Who Holds ASTI

Last 8 quarters through Sep 30, 2026 (filing window open)

Each kind of 13F filer's share of the common shares 13F filers report. Holder type comes from regulatory records, never the filer's name; style, turnover and horizon are measured from each filer's own 13F book. The quarter selector does not change this card.

Jun 30, 2026, the newest closed quarter: 38 filers, like-for-like change +191.0%; actively managed books +196.0%; index-like books +182.8%.

Holder type Share Filers Change
Registered adviser 48.7% 18 +148.2%
Adviser 13.1% 1 new
Bank 10.1% 5 +7.5%
Holding company 6.7% 4 +1316.7%
Broker-dealer 0.0% 0 —
Unknown 21.4% 10 +338.6%

The Sep 30, 2026 filing window is still open, so its bar carries the Jun 30, 2026 positions of filers that have not filed yet.

How the mix is measured

Shares are 13F common shares restated to today's split basis; options and principal amounts are left out. The change compares only filers with a 13F in both quarters and keeps each filer in its bucket of the later quarter on both sides; a filer that continues under a new CIK is compared through its successor. Holder type comes from each filer's current regulatory profile; client base and private funds come from the Form ADV roster current at each quarter end (rosters from December 2019, so an earlier quarter reads Unknown). Style, turnover, horizon and book size are measured from each filer's 13F book in the newest measured quarter, and Not measured means none was. Actively managed books are those measured systematic-like, concentrated or diversified active.

Excluded 1 holder with no observed 2026-03-31 13F and 1 holder with no observed 2026-06-30 13F.

Conviction and Crowding

38 13F filers, quarter ended Jun 30, 2026

Measured across every 13F filer's common-share book once the quarter's filing window closed. Crowding counts filers with high turnover or that advise private funds on Form ADV.

Conviction holders
0
0.000% of filers hold it in their top 10
Mar 31, 2026: 0
Holders above 5%
0
median weight 0.000%
Mar 31, 2026: 0
Crowding
8.43%
of shares outstanding, 25th percentile
Mar 31, 2026: 2.13%
Private-fund advisers
4.39%
of shares outstanding
Institutional ownership
21.4%
21.5% of the estimated free float
Top 10 holders
90.0%
of 13F shares, Herfindahl 0.125
Active holders
+196.0%
like-for-like share change of active filers
5% stakes on record
0
0 13D, 0 13G
How long holders have held it value-weighted 2.2 quarters
Under 1 year 88.1% 1 to 3 years 11.9% 3 years or more 0.000% Since coverage start 0.000%

Managers in the top fifth by current three-year FundScore alpha were net buyers of $0 (0 buying, 0 selling).

Estimated Holder Cost Basis

Quarter ended Jun 30, 2026, on that quarter's share basis

Estimated, never filed: each 13F buy is costed at its quarter's average traded price and each sale keeps the average cost, so this is what holders paid on average if they traded evenly through each quarter.

Estimated avg cost
$5.25
estimated per share
Mar 31, 2026: $4.89
Quarter-end price
$5.00
implied by 13F values
Estimated gain or loss
-4.8%
price against the estimated cost
Estimated at a loss
88.1%
of costed 13F value

Estimated cost covers 73.1% of the 13F shares; positions already held when a filer's 13F history starts, or bought in a quarter without a trusted average price, have no estimate.

Shareholder Targets

13F filers that own its peers but not ASTI, quarter ended Jun 30, 2026

ASTI has no holder-overlap peers, so these filers hold the largest Technology stocks: NVDA, AAPL, MSFT, AVGO, MU, AMD, INTC, AMAT, LRCX, CSCO, TSM, KLAC, SNDK, TXN, PANW, MRVL, WDC, APH, ORCL, STX. 7,096 filers in all.

# Filer In peers
1 VANGUARD PORTFOLIO MANAGEMENT LLC Registered adviser, Diversified active $489,725,900,193 20 held
2 Invesco Ltd. Adviser, Diversified active $413,827,857,231 20 held
3 JPMORGAN CHASE & CO Bank, Diversified active $407,707,534,286 20 held
4 PRICE T ROWE ASSOCIATES INC /MD/ Registered adviser, Diversified active $287,532,333,393 20 held
5 NORGES BANK Non-US, Index-like $280,908,085,880 20 held
6 BANK OF AMERICA CORP /DE/ Bank, Diversified active $205,326,967,659 20 held
7 Capital Research Global Investors Adviser, Diversified active $203,724,108,091 19 held
8 GOLDMAN SACHS GROUP INC Holding company, Index-like $198,384,235,675 20 held
9 Capital World Investors Adviser, Diversified active $185,750,860,435 15 held
10 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC Registered adviser, Index-like $174,850,027,256 20 held

Fund Ownership of ASTI by Fund Type

Registered funds' Form N-PORT reports for the quarter ended Jun 30, 2026

Index funds and index ETFs hold 4.89% of shares outstanding.

Fund type Of shares outstanding Shares
Index funds 0.78% 76,392
Index ETFs 4.11% 403,245
Active ETFs 0.00% 0
Active funds 0.02% 2,052
Unclassified 0.00% 0
All registered funds 4.91% 481,689
How fund types are measured

Each fund series counts once, with its latest Form N-PORT report dated inside the quarter; only long share positions count, restated to today's split basis. The fund type is the series' latest Form N-CEN answer on or before the quarter end (the index-fund box and the exchange-traded flag), never its name. Unclassified funds have no usable N-CEN; unit investment trusts are among them, so index ownership is a floor. Funds sit inside their advisers' 13F reports, so these shares overlap the 13F figures and are never added to them.

Holder type: Registered adviser 19 Adviser 1 Bank 5 Holding company 4 Unknown 11
Showing 41 of 41
All Common Calls Puts
Export CSV
Holder Value (USD) % of 13F Shares Open
VANGUARD CAPITAL MANAGEMENT LLC $1,913,185 18.64% 382,637
Soviero Asset Management, LP $1,850,000 18.02% 370,000
JANE STREET GROUP, LLC $1,700,980 16.57% 340,196
DNB Asset Management AS $1,326,800 12.93% 265,360
UBS Group AG $598,280 5.83% 119,656
GEODE CAPITAL MANAGEMENT, LLC $542,255 5.28% 108,451
MORGAN STANLEY $342,670 3.34% 68,534
BlackRock, Inc. $324,715 3.16% 64,943
VANGUARD FIDUCIARY TRUST CO $261,060 2.54% 52,212
STATE STREET CORP $259,690 2.53% 51,938
TWO SIGMA INVESTMENTS, LP $175,285 1.71% 35,057
NewEdge Advisors, LLC $140,400 1.37% 28,080
Cetera Investment Advisers $123,755 1.21% 24,751
NORTHERN TRUST CORP $99,350 0.97% 19,870
XTX Topco Ltd $74,735 0.73% 14,947
Engineers Gate Manager LP $73,035 0.71% 14,607
CITIGROUP INC $64,330 0.63% 12,866
JANE STREET GROUP, LLC $62,500 0.61% 12,500
TRANSCEND CAPITAL ADVISORS, LLC $53,250 0.52% 10,650
CITADEL ADVISORS LLC $53,000 0.52% 10,600
Virtu Financial LLC $51,635 0.50% 10,327
United Advisor Group, LLC $50,000 0.49% 10,000
B. Riley Wealth Advisors, Inc. $37,800 0.37% 15,000
FOUNDERS FINANCIAL SECURITIES LLC $25,200 0.25% 10,000
Vanguard Global Advisers, LLC $23,395 0.23% 4,679
Tower Research Capital LLC (TRC) $10,765 0.10% 2,153
OSAIC HOLDINGS, INC. $8,395 0.08% 1,679
Bogart Wealth, LLC $8,000 0.08% 1,600
Steward Partners Investment Advisory, LLC $7,505 0.07% 1,501
Parallel Advisors, LLC $1,700 0.02% 340
Federation des caisses Desjardins du Quebec $625 0.01% 125
Caitlin John, LLC $500 0.00% 100
Fortitude Family Office, LLC $410 0.00% 163
FMR LLC $55 0.00% 11
Caitong International Asset Management Co., Ltd $37 0.00% 15
Smartleaf Asset Management LLC $15 0.00% 3
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO $5 0.00% 1
BFC Planning, Inc. $5 0.00% 1
ROYAL BANK OF CANADA $5 0.00% 1
COMPASS FINANCIAL MANAGEMENT LLC $2 0.00% 1
Putney Financial Group LLC $2 0.00% 1
Key facts CIK 1350102 CUSIP 043635804 13F (30d) 13 filings 7 filers Visit website Investor relations