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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Ascent Solar Technologies, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 20, 2025 |
Ascent Solar Technologies, Inc. Up to $758,818 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-267971 PROSPECTUS SUPPLEMENT (to Prospectus Supplements Dated May 16, 2024, May 23, 2024, and May 30, 2024 to Prospectus Dated November 7, 2022) Ascent Solar Technologies, Inc. Up to $758,818 Common Stock This prospectus supplement (this “Supplement”) amends, modifies, supersedes and supplements certain information contained in, and should be r |
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| August 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2025 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Co |
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| August 12, 2025 |
NOTE 15. COMMITMENTS AND CONTINGENCIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Technol |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Com |
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| August 6, 2025 |
Ascent Solar Technologies, Inc. Corporate Presentation August 2025 Exhibit 99.2 Ascent Solar Technologies, Inc. Corporate Presentation August 2025 www.ascentsolar.com Page | 2 COPYRIGHT © 2024 Ascent Solar Technologies, Inc. NASDAQ: ASTI Forward - Looking Statements Certain statements in this presentation may constitute "forward - looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995.These forward - looking statements rela |
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| August 6, 2025 |
Exhibit 99.1 Ascent Solar Technologies Provides Corporate Update Detailing Customer Pipeline and Sales Progress in Space and Aerospace Industries THORNTON, Colo., August 6, 2025 (GLOBE NEWSWIRE) - Ascent Solar Technologies, (Nasdaq: ASTI) (“Ascent'' or the “Company”), the leading U.S. innovator in the design and manufacture of featherweight, flexible, and durable CIGS thin-film photovoltaic (PV) s |
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| June 30, 2025 |
Exhibit 4.2 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Issue Date: , 2025 Initial Exercise Date: , 2025 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any ti |
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| June 30, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2025 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Comm |
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| June 30, 2025 |
Ascent Solar Technologies, Inc. Announces Pricing of $2.0 Million Public Offering Exhibit 99.1 Ascent Solar Technologies, Inc. Announces Pricing of $2.0 Million Public Offering THORNTON, Colo., June 27, 2025 (GLOBE NEWSWIRE) - Ascent Solar Technologies, Inc. (NASDAQ: ASTI) (“Ascent” or the “Company”), the leading U.S. innovator in the design and manufacture of featherweight, flexible, and durable CIGS thin-film photovoltaic (PV) solutions, today announced the pricing of a publi |
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| June 30, 2025 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-288300 ASCENT SOLAR TECHNOLOGIES, INC. 507,000 SHARES OF COMMON STOCK AND 507,000 ACCOMPANYING WARRANTS TO PURCHASE UP TO 507,000 SHARES OF COMMON STOCK 493,000 PRE-FUNDED WARRANTS TO PURCHASE UP TO 493,000 SHARES OF COMMON STOCK AND ACCOMPANYING WARRANTS TO PURCHASE UP TO 493,000 SHARES OF COMMON STOCK 70,000 PLACEMENT AGENT WARRANTS TO PURCHA |
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| June 30, 2025 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 27, 2025, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and con |
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| June 30, 2025 |
Exhibit 4.1 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Issue Date: , 2025 Initial Exercise Date: , 2025 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the dat |
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| June 30, 2025 |
Exhibit 4.3 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Issue Date: , 2025 Initial Exercise Date: , 2025 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, |
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| June 27, 2025 |
EXHIBIT 99.2 Ascent Solar Technologies Enters into Teaming Agreement to Supply US-based Defense Solutions Provider with Thin-Film Solar Technology for Orbital Application THORNTON, Colo., June 27, 2025 – Ascent Solar Technologies (“Ascent” or the “Company”) (Nasdaq: ASTI), the leading U.S. innovator in the design and manufacturing of featherweight, flexible thin-film photovoltaic (PV) solutions, a |
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| June 27, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2025 (June 26, 2025) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inco |
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| June 27, 2025 |
EXHIBIT 99.1 Ascent Solar Technologies Enters Collaborative Agreement Notice with NASA to Advance Development of Thin-Film PV Power Beaming Capabilities THORNTON, Colo., June 26, 2025 - Ascent Solar Technologies (Nasdaq: ASTI) (“Ascent” or the “Company”), the leading U.S. innovator in the design and manufacture of featherweight, flexible, and durable CIGS thin-film photovoltaic (PV) solutions, ann |
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| June 26, 2025 |
Correspondence June 26, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Washington, DC 20549 Re: Ascent Solar Technologies, Inc. Registration Statement on Form S-1 (File No. 333-288300) – Concurrence in Acceleration Request Ladies and Gentlemen: H.C. Wainwright & Co., LLC (“Wainwright”), solely acting as placement agent on a best efforts basis in an offering |
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| June 26, 2025 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Correspondence Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 June 26, 2025 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Eranga Dias RE: Ascent Solar Technologies, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-288300) (the “Registration Statement”) |
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| June 26, 2025 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Correspondence Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 June 26, 2025 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Eranga Dias RE: Ascent Solar Technologies, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-288300) (the “Registration Statement”) |
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| June 25, 2025 |
Form of 2025 Placement Agent Warrant Exhibit 4.18 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Issue Date: , 2025 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the |
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| June 25, 2025 |
As filed with the Securities and Exchange Commission on June 25, 2025. As filed with the Securities and Exchange Commission on June 25, 2025. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Ascent Solar Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 36741 20-3672603 (State or other jurisdiction of incorporation or organiza |
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| June 25, 2025 |
Form of 2025 Prefunded Warrant Exhibit 4.17 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Issue Date: , 2025 Initial Exercise Date: , 2025 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any t |
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| June 25, 2025 |
Form of 2025 Securities Purchase Agreement Exhibit 10.28 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [ ], 2025, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and condit |
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| June 25, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ascent Solar Technologies, Inc. |
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| June 25, 2025 |
Exhibit 4.16 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Issue Date: , 2025 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the [Stockholder Approval Date][1] ( |
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| June 20, 2025 |
DRS 1 filename1.htm As confidentially submitted to the Securities and Exchange Commission on June [***], 2025. This draft registration statement has not been publicly filed with the Securities and Exchange Commission and all information contained herein remains confidential. Registration No. 333-[***] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STA |
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| June 20, 2025 |
CARROLL LEGAL LLC Denver, Colorado 80202 James H. Carroll, Esq. +1 303 888 4859 [email protected] June 20, 2025 CONFIDENTIAL SUBMISSION VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Re: Ascent Solar Technologies, Inc. Draft Registration Statement on Form S-1 Ladies and Gentlemen: On behalf of Ascent Solar Technolog |
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| June 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2025 (June 4, 2025) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorp |
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| June 9, 2025 |
Exhibit 3.1 |
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| May 29, 2025 |
Exhibit 10.1 ASCENT SOLAR TECHNOLOGIES, INC. 2023 EQUITY INCENTIVE PLAN (As amended at the 2025 Annual Stockholders Meeting) 1. GENERAL. (a) Eligible Award Recipients. Employees, Directors and Consultants are eligible to receive Awards. (b) Available Awards. The Plan provides for the grant of the following Awards: (i) Incentive Stock Options, (ii) Nonstatutory Stock Options, (iii) Stock Appreciati |
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| May 29, 2025 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Form S-8 (Form Type) Ascent Solar Technologies, Inc. |
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| May 29, 2025 |
As filed with the U.S. Securities and Exchange Commission on May 29, 2025 As filed with the U.S. Securities and Exchange Commission on May 29, 2025 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of Registrant as specified in its charter) Delaware 47-3324725 (State or other jurisdiction of Incorporation or organizatio |
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| May 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2025 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Commi |
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| May 14, 2025 |
NOTE 15. COMMITMENTS AND CONTINGENCIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techno |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| April 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| March 31, 2025 |
ASCENT SOLAR TECHNOLOGIES, INC. Insider Trading Policy Adopted January 2022 In order to take an active role in the prevention of insider trading violations by officers, directors, employees and other related individuals of Ascent Solar Technologies, Inc. (the “Company”) and its subsidiaries, the Company has adopted this Insider Trading Policy (the “Policy”). Statement of Intent The Company opposes |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techn |
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| March 31, 2025 |
Exhibit 4.4 DESCRIPTION OF THE REGISTRANT’S COMMON STOCK REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES AND EXCHANGE ACT OF 1934, AS AMENDED The common stock of Ascent Solar Technologies, Inc. is registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). Our shares of common stock are traded on the Nasdaq Stock Market under the trading symbol “ASTI.” |
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| March 13, 2025 |
Exhibit 3.1 FOURTH AMENDMENT TO SECOND AMENDED AND RESTATED BYLAWS OF ASCENT SOLAR TECHNOLOGIES, INC. The undersigned, being the President and CEO of Ascent Solar Technologies, Inc., a Delaware corporation (the “Corporation”), hereby certifies that the Corporation's Second and Amended and Restated Bylaws, dated February 10, 2009 (the “Bylaws”), were amended by a resolution of the Corporation's Boa |
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| March 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2025 (March 7, 2025) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inc |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Te |
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| October 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2024 (October 17, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction o |
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| October 23, 2024 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF RIGHTS AND PREFERENCES OF SERIES 1C CONVERTIBLE PREFERRED STOCK OF ASCENT SOLAR TECHNOLOGIES, INC. I, Jin Jo, hereby certify that I am the Chief Financial Officer and Treasurer of Ascent Solar Technologies, Inc. (the “Company”), a corporation organized and existing under the Delaware General Corporation Law (the “DGCL”), and further do hereby certify: Tha |
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| October 23, 2024 |
Form of Series 1C Convertible Preferred Stock Securities Purchase Agreement dated October 17, 2024 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of October 17, 2024, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and |
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| August 21, 2024 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Form S-8 (Form Type) Ascent Solar Technologies, Inc. |
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| August 21, 2024 |
As filed with the U.S. Securities and Exchange Commission on August 21, 2024 As filed with the U.S. Securities and Exchange Commission on August 21, 2024 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of Registrant as specified in its charter) Delaware 47-3324725 (State or other jurisdiction of Incorporation or organiza |
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| August 19, 2024 |
Exhibit 3.1 |
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| August 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2024 (August 14, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2024 (August 7, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of i |
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| August 13, 2024 |
Ascent Solar 2023 Equity Incentive Plan Exhibit 10.1 ASCENT SOLAR TECHNOLOGIES, INC. 2023 EQUITY INCENTIVE PLAN (As amended at the 2024 Annual Stockholders Meeting) 1. GENERAL. (a) Eligible Award Recipients. Employees, Directors and Consultants are eligible to receive Awards. (b) Available Awards. The Plan provides for the grant of the following Awards: (i) Incentive Stock Options, (ii) Nonstatutory Stock Options, (iii) Stock Appreciati |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Technol |
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| June 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 (June 20, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inco |
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| June 21, 2024 |
Exhibit 3.1 |
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| June 21, 2024 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 20, 2024, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and the purchaser identified on the signature page hereto (the “Purchaser”). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section 4(a)(2) of the Sec |
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| June 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| June 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 14, 2024 (June 11, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inco |
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| June 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 30, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2024 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Commi |
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| May 30, 2024 |
Ascent Solar Technologies, Inc. Up to $3,981,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-267971 PROSPECTUS SUPPLEMENT (To Prospectus Dated November 7, 2022) Ascent Solar Technologies, Inc. Up to $3,981,000 Common Stock We have entered into an at the market offering agreement (the “Offering Agreement”), dated May 16, 2024, with H.C. Wainwright & Co., LLC, as sales agent (the “Sales Agent” or “Wainwright”), relating to the sale of ou |
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| May 23, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2024 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Commi |
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| May 23, 2024 |
Ascent Solar Technologies, Inc. Up to $4,344,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-267971 PROSPECTUS SUPPLEMENT (To Prospectus Dated November 7, 2022) Ascent Solar Technologies, Inc. Up to $4,344,000 Common Stock We have entered into an at the market offering agreement (the “Offering Agreement”), dated May 16, 2024, with H.C. Wainwright & Co., LLC, as sales agent (the “Sales Agent” or “Wainwright”), relating to the sale of ou |
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| May 16, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2024 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Commi |
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| May 16, 2024 |
Ascent Solar Technologies, Inc. Up to $4,219,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-267971 PROSPECTUS SUPPLEMENT (To Prospectus Dated November 7, 2022) Ascent Solar Technologies, Inc. Up to $4,219,000 Common Stock We have entered into an at the market offering agreement (the “Offering Agreement”), dated May 16, 2024, with H.C. Wainwright & Co., LLC, as sales agent (the “Sales Agent” or “Wainwright”), relating to the sale of ou |
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| May 16, 2024 |
EXHIBIT 10.1 AT THE MARKET OFFERING AGREEMENT May 16, 2024 H.C. Wainwright & Co., LLC 430 Park Avenue, 3rd Floor New York, New York 10022 Ladies and Gentlemen: Ascent Solar Technologies, Inc., a corporation organized under the laws of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows: 1. Definitions. The terms that follow |
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| May 9, 2024 |
Exhibit 1.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 April 9, 2024 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent (th |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techno |
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| May 9, 2024 |
Exhibit 4.13 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| April 18, 2024 |
Exhibit 10.1 |
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| April 18, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2024 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Com |
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| April 12, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2024 (April 12, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| April 12, 2024 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-277070 Prospectus ASCENT SOLAR TECHNOLOGIES, INC. $6,000,000 UP TO 42,857,142 SHARES OF COMMON STOCK OR PRE-FUNDED WARRANTS TO PURCHASE ONE SHARE OF COMMON STOCK We are offering on a best efforts basis up to 42,857,142 shares of common stock at a public offering price of $0.14 per share, for gross proceeds of approximately $6.0 million in this |
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| April 9, 2024 |
Form of 2024 Placement Agent’s Warrant Exhibit 4.4 THE REGISTERED HOLDER OF THIS COMMON STOCK PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING [●], 2024, W |
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| April 9, 2024 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Correspondence Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 April 9, 2024 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Erin Donahue RE: Ascent Solar Technologies, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-277070) (the “Registration Statement” |
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| April 9, 2024 |
As filed with the Securities and Exchange Commission on April 9, 2024 As filed with the Securities and Exchange Commission on April 9, 2024 Registration No. |
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| April 9, 2024 |
Form of Placement Agent Agreement Exhibit 1.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 April [], 2024 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent (t |
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| April 9, 2024 |
DAWSON JAMES SECURITIES INC. 101 North Federal Highway Suite 600 Boca Raton, Fl 33432 April 9, 2024 Correspondence DAWSON JAMES SECURITIES INC. 101 North Federal Highway Suite 600 Boca Raton, Fl 33432 April 9, 2024 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Erin Donahue RE: Ascent Solar Technologies, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-277070) (the “Registr |
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| April 5, 2024 |
Form of Placement Agent Agreement Exhibit 1.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 April [], 2024 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent (t |
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| April 5, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ascent Solar Technologies, Inc. |
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| April 5, 2024 |
As filed with the Securities and Exchange Commission on April 5, 2024 As filed with the Securities and Exchange Commission on April 5, 2024 Registration No. |
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| April 5, 2024 |
Form of 2024 Placement Agent’s Warrant Exhibit 4.4 THE REGISTERED HOLDER OF THIS COMMON STOCK PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING [●], 2024, W |
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| March 29, 2024 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Form S-8 (Form Type) Ascent Solar Technologies, Inc. |
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| March 29, 2024 |
As filed with the U.S. Securities and Exchange Commission on March 29, 2024 As filed with the U.S. Securities and Exchange Commission on March 29, 2024 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of Registrant as specified in its charter) Delaware 47-3324725 (State or other jurisdiction of Incorporation or organizat |
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| March 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2024 (March 5, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inc |
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| March 7, 2024 |
Exhibit 10.1 WARRANT REPURCHASE AGREEMENT This Warrant Repurchase Agreement (the “Agreement”) is entered into as of the 6th day of March, 2024 by and among Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and the investor signatory hereto (the “Holder”), with reference to the following facts: A. Prior to the date hereof, pursuant to that Securities Purchase Contract, dated |
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| March 7, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2024 (March 6, 2024) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inco |
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| March 7, 2024 |
Exhibit 10.2 WARRANT REPURCHASE AGREEMENT This Warrant Repurchase Agreement (the “Agreement”) is entered into as of the 7th day of March, 2024 by and among Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and the investor signatory hereto (the “Holder”), with reference to the following facts: A. Prior to the date hereof, pursuant to that Securities Purchase Contract, dated |
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| February 23, 2024 |
Exhibit 4.8 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of February [], 2024 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the “Warrant Agent”). |
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| February 23, 2024 |
Exhibit 1.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 February [], 2024 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent |
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| February 23, 2024 |
Exhibit 4.6 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: [], 2024 CUSIP: THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any t |
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| February 23, 2024 |
As filed with the Securities and Exchange Commission on February 23, 2024 As filed with the Securities and Exchange Commission on February 23, 2024 Registration No. |
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| February 23, 2024 |
Form of 2024 Securities Purchase Agreement Exhibit 4.9 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [], 2024, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditio |
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| February 23, 2024 |
Exhibit 4.4 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: [], 2024 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the da |
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| February 23, 2024 |
Form of 2024 Placement Agent’s Warrant Exhibit 4.5 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: [], 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Dawson James Securities, Inc. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or |
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| February 23, 2024 |
Form of 2024 Common Warrant Agency Agreement Exhibit 4.7 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of February [], 2024 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the “Warrant Agent”). |
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| February 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techn |
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| February 21, 2024 |
Ascent Solar Technologies, Inc. Rule 10D-1 Clawback Policy ASCENT SOLAR TECHNOLOGIES, INC. POLICY REGARDING THE RECOUPMENT OF CERTAIN PERFORMANCE-BASED COMPENSATION PAYMENTS Purpose and Scope. This policy sets forth the conditions under which Ascent Solar Technologies, Inc. (the “Company”) will seek reimbursement with respect to incentive-based compensation received by, and to recover profits realized from the sale of shares of the Company’s common stock |
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| February 14, 2024 |
As filed with the Securities and Exchange Commission on February 14, 2024 As filed with the Securities and Exchange Commission on February 14, 2024 Registration No. |
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| February 14, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ascent Solar Technologies, Inc. |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2023 (December 11, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction |
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| December 15, 2023 |
Ascent Solar 2023 Equity Incentive Plan Exhibit 10.1 ASCENT SOLAR TECHNOLOGIES, INC. 2023 EQUITY INCENTIVE PLAN 1.GENERAL. (a)Eligible Award Recipients. Employees, Directors and Consultants are eligible to receive Awards. (b)Available Awards. The Plan provides for the grant of the following Awards: (i) Incentive Stock Options, (ii) Nonstatutory Stock Options, (iii) Stock Appreciation Rights, (iv) Restricted Stock Awards, (v) Restricted |
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| December 6, 2023 |
Exhibit 99.1 Ascent Solar Technologies, Inc. Announces Adjournment of Annual Meeting, Information for Reconvened Annual Meeting THORNTON, Colo., December 6, 2023 (GLOBE NEWSWIRE) - Ascent Solar Technologies, Inc. (“Ascent Solar” or the “Company”) (Nasdaq: ASTI), a U.S. innovator in the design and manufacturing of featherweight, flexible thin-film photovoltaic (PV) solutions, today announced that i |
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| December 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2023 (December 5, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction o |
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| December 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 4, 2023 (December 1, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction o |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Te |
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| October 23, 2023 |
Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into this October 19, 2023 but with an effective date as of April 17, 2023 (the “Effective Date”), by and between Ascent Solar Technologies, Inc. (the “Company”) and Bobby Gulati (the “Executive”). The Company and the Executive, each intending to be legally bound by the terms hereof, agree as follows |
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| October 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| October 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2023 (October 19, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction o |
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| October 23, 2023 |
Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into this October 19, 2023 but with an effective date as of April 17, 2023 (the “Effective Date”), by and between Ascent Solar Technologies, Inc. (the “Company”) and Jin Jo (the “Executive”). The Company and the Executive, each intending to be legally bound by the terms hereof, agree as follows: 1. E |
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| October 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| October 11, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (C |
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| October 10, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (C |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 4, 2023 (September 28, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction |
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| September 29, 2023 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-274231 Prospectus ASCENT SOLAR TECHNOLOGIES, INC. 3,572,635 UNITS CONSISTING OF ONE SHARE OF COMMON STOCK, OR ONE PRE-FUNDED WARRANT TO PURCHASE ONE SHARE OF COMMON STOCK, AND ONE WARRANT TO PURCHASE ONE SHARE OF COMMON STOCK We are offering on a best efforts basis 3,572,635 units, each consisting of one share of our common stock, par value $0. |
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| September 27, 2023 |
As filed with the Securities and Exchange Commission on September 27, 2023 As filed with the Securities and Exchange Commission on September 27, 2023 Registration No. |
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| September 25, 2023 |
Exhibit 4.5 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: September [], 2023 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date he |
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| September 25, 2023 |
Exhibit 4.7 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of September [], 2023 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the “Warrant Agent”). |
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| September 25, 2023 |
As filed with the Securities and Exchange Commission on September 25, 2023 As filed with the Securities and Exchange Commission on September 25, 2023 Registration No. |
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| September 25, 2023 |
Exhibit 4.9 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September [], 2023, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms an |
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| September 25, 2023 |
Exhibit 4.4 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: September [], 2023 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or af |
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| September 25, 2023 |
Exhibit 1.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 September [], 2023 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agen |
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| September 25, 2023 |
Exhibit 4.8 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of September [], 2023 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the “Warrant Agent”). |
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| September 25, 2023 |
Correspondence September 25, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| September 25, 2023 |
Exhibit 4.6 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: September [], 2023 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any ti |
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| September 25, 2023 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Correspondence Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 September 25, 2023 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Gregory Herbers RE: Ascent Solar Technologies, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-274231) (the “Registration St |
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| September 18, 2023 |
Exhibit 4.6 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: September [], 2023 CUSIP: THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth |
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| September 18, 2023 |
As filed with the Securities and Exchange Commission on September 18, 2023 As filed with the Securities and Exchange Commission on September 18, 2023 Registration No. |
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| September 18, 2023 |
Exhibit 4.4 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: September [], 2023 CUSIP: THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or af |
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| September 18, 2023 |
Exhibit 4.5 COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC. Warrant Shares: Initial Exercise Date: March [], 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof |
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| September 18, 2023 |
Exhibit 4.7 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of September [], 2023 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation, and its wholly-owned subsidiary, Computershare Trust Company, N.A., a federally chartered trust company (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursu |
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| September 18, 2023 |
Form of Placement Agent Agreement Exhibit 1.1 PLACEMENT AGENCY AGREEMENT Dawson James Securities, Inc. 1 North Federal Highway Boca Raton, Florida 33432 September [], 2023 Ladies and Gentlemen: This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agen |
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| September 18, 2023 |
Exhibit 4.8 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of September [], 2023 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation, and its wholly-owned subsidiary, Computershare Trust Company, N.A., a federally chartered trust company (the “Warrant Agent”). W I T N E S S E T H WHEREAS, pursu |
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| September 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2023 (September 11, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdicti |
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| September 15, 2023 |
Exhibit 3.1 |
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| September 15, 2023 |
www.ascentsolar.com Page | 1 Filed Pursuant to Rule 433 Free Writing Prospectus dated September 15, 2023 Relating to Preliminary Prospectus dated September 13, 2023 Registration No. 333 - 274231 Explanatory Note This free writing prospectus relates to the proposed public offering of securities of Ascent Solar Technologies, Inc . (the “Company”) . The securities are being registered on a Registrati |
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| September 13, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ascent Solar Technologies, Inc. |
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| September 13, 2023 |
As filed with the Securities and Exchange Commission on September 13, 2023 As filed with the Securities and Exchange Commission on September 13, 2023 Registration No. |
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| September 13, 2023 |
Exhibit 3.19 |
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| August 25, 2023 |
As filed with the Securities and Exchange Commission on August 25, 2023 As filed with the Securities and Exchange Commission on August 25, 2023 Registration No. |
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| August 25, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Ascent Solar Technologies, Inc. |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Technol |
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| July 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Comm |
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| July 31, 2023 |
Exhibit 3.1 |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement ASCENT SOLAR TECHNOLOGIES, INC. (Nam |
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| July 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement ASCENT SOLAR TECHNOLOGIES, INC. (Nam |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 10, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Comm |
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| June 30, 2023 |
EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 29, 2023 between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and con |
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| June 30, 2023 |
EXHIBIT 3.1 ascent solar technologies, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF Series 1B CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW The undersigned, Paul Warley and Dave Peterson, do hereby certify that: 1. They are the President and Secretary, respectively, of Ascent Solar Technologies, Inc., a Delaware corporation |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2023 (June 29, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inco |
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| May 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2023 (May 25, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorp |
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| May 26, 2023 |
EXHIBIT 10.1 SECOND WAIVER AND AMENDMENT AGREEMENT This Second Waiver and Amendment Agreement (this “Agreement”) is entered into as of May 24, 2023, by and among ASCENT SOLAR TECHNOLOGIES, INC. (the “Company”) and each of the undersigned Purchasers (the “Consenting Purchasers”). Recitals WHEREAS, the Company and each of the Consenting Purchasers have entered into that certain Securities Purchase C |
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| May 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 26, 2023 (May 25, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorp |
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| May 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2023 (May 22, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorp |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techno |
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| May 11, 2023 |
Ascent Solar Announces Leadership Team Promotions to Drive Strategic Growth Exhibit 99.1 Ascent Solar Announces Leadership Team Promotions to Drive Strategic Growth THORNTON, CO., May 11, 2023 – Ascent Solar Technologies, (Nasdaq: ASTI) (“ASTI” or the “Company”), the leading U.S. innovator in the design and manufacturing of featherweight, flexible, and durable CIGS thin-film photovoltaic (PV) solutions, today announced several leadership appointments to advance the Compan |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 (May 8, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorpo |
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| May 8, 2023 |
CEO Employment Agreement between the Company and Paul Warley dated as of May 1, 2023 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made, entered into and effective as of May 1, 2023 (the “Effective Date”), by and between Ascent Solar Technologies, Inc. (the “Company”) and Paul Warley (the “Executive”). The Company and the Executive, each intending to be legally bound by the terms hereof, agree as follows: 1. Employment Term. The Company hereby e |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2023 (May 2, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorpor |
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| May 2, 2023 |
Ascent Solar Technologies Names New CEO Exhibit 99.1 Ascent Solar Technologies Names New CEO THORNTON, CO., May 2, 2023 – Ascent Solar Technologies, (Nasdaq: ASTI) (“ASTI” or the “Company”), the leading U.S. innovator in the design and manufacture of featherweight, flexible, and durable CIGS thin-film photovoltaic (PV) solutions, announced today that the Board of Directors has terminated Jeffrey Max, ASTI’s President and Chief Executive |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 (April 26, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incor |
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| April 25, 2023 |
Subordinated Debt Securities Purchase Agreement dated April 19, 2023 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of April 19, 2023, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and c |
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| April 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 (April 19, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| April 25, 2023 |
Exhibit 99.1 Ascent Solar Technologies, Inc. Announces $5M Financing Agreement with BD1 Holdings Capital commitment arrives as Ascent executes turnaround plan that includes global expansion and investments in commercializing Perovskites solar technology THORNTON, CO / GLOBE NEWSWIRE / APRIL 25, 2023 – Ascent Solar Technologies, Inc. (NASDAQ: ASTI) (“ASTI” or the “Company”), the leading U.S. innova |
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| April 25, 2023 |
Form of Subordinated Note under Subordinated Debt Securities Purchase Agreement dated April 19, 2023 Exhibit 10.2 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR UNDER THE SECURITIES LAWS OF ANY STATES IN THE UNITED STATES. THESE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE AND MAY NOT BE TRANSFERRED OR RESOLD EXCEPT AS PERMITTED UNDER THE ACT AND THE APPLICABLE STATE SECURITIES LAWS, PURSUANT TO REGISTRATION OR EXEMPTION THER |
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| April 21, 2023 |
Exhibit 10.3 TECHNOLOGY LICENSE AGREEMENT THIS TECHNOLOGY LICENSE AGREEMENT (“Agreement”) is entered into as of April 17, 2023 (the “Execution Date”) and effective as of the Effective Date (as defined below), by and between Flisom AG, a Swiss corporation (“Flisom”) and Ascent Solar Technologies, Inc., a Delaware corporation (“ASTI”). Flisom and ASTI may be individually referred to herein as a “Par |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 21, 2023 (April 17, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| April 21, 2023 |
Exhibit 10.1 EXECUTION VERSION Transition Services Agreement This TRANSITION SERVICES AGREEMENT dated as of April 17, 2023 (this “Agreement”) is made by and between Flisom AG, Gewerbestrasse 16, 8155 Niederhasli, Switzerland, CHE-112.438.042 (“Seller”), Ascent Solar Technologies Inc., 12300 Grant Street, Suite 160, 80241 Thornton CO, USA (“Buyer”), and FL1 Holding GmbH, Am Eulenhof 14, 95326 Kulmb |
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| April 21, 2023 |
Exhibit 10.4 April 20, 2023 BD Vermögensverwaltungs GmbH Ostendstr.181 90482 Nürnberg Attn: Straub & Kollegen Rechtsanwaltsgesellschaft BD 1 Investment Holding, LLC 1675 South State Street, Suite B Kent County, Delaware 19901 Attention: Johannes Kuhn FL1 Holding GmbH Ostendstr. 181 90482 Nürnberg Attn: Ralf Straub, Managing Director RE: Omnibus Side Letter Agreement Reference is made to that certa |
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| April 21, 2023 |
Exhibit 2.1 EXECUTION VERSION ASSET PURCHASE AGREEMENT dated 17 April, 2023 between Flisom AG, Gewerbestrasse 16, 8155 Niederhasli, Switzerland, CHE-112.438.042 (the “Seller”), and Ascent Solar Technologies Inc., 12300 Grant Street, Suite 160, 80241 Thornton CO, USA, (the “Buyer”), (Seller and Buyer together the “Parties”, each a “Party”) Preamble Seller is a developer and manufacturer of photovol |
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| April 21, 2023 |
Exhibit 10.2 EXECUTION VERSION Sublease Agreement dated April 17, 2023 between Flisom AG Sublessor and Ascent Solar Technologies Inc. Sublessee and Alex Michael Hadjimina Master Lessor This Sublease Agreement (this “Sublease”) is dated as of the date set forth on the front page of this Sublease and entered into between: (1) Flisom AG, Gewerbestrasse 16, 8155 Niederhasli, Switzerland, UID: CHE-112. |
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| April 20, 2023 |
Exhibit 99.1 Ascent Solar Technologies, Inc. Secures $9M Equity Financing with Lucro Investments VCC Ascent Solar receives repeat funding to fuel aggressive turnaround plan and strategy to become global contender in the solar technology solutions market THORNTON, CO / GLOBE NEWSWIRE / APRIL 20, 2023 – Ascent Solar Technologies, Inc. (NASDAQ: ASTI) (“ASTI” or the “Company”), the leading U.S. innova |
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| April 20, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of April 14, 2023, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and c |
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| April 20, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2023 (April 14, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| April 18, 2023 |
Exhibit 99.1 Ascent Solar Technologies, Inc. Accelerates Global Expansion Through Completed Acquisition of Swiss Thin-Film Solar Manufacturing Equipment Ascent Solar's acquisition of Flisom AG’s Zurich equipment establishes a new revenue stream, 300% more manufacturing capacity, and an international presence as European and Asian governments adopt legislation to increase solar energy production & |
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| April 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Com |
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| April 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 (Title of Class of Securities) 043635606 (CUSIP Number) Arion Agrophotovoltaic Private Limited 8, Temasek Boulevard, Suntec Tower 3 #29-03A, Singapore 038988. (Name, Address and Telephone Nu |
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| April 17, 2023 |
Exhibit 99.3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James H. Carroll, individually, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of securities of Ascent Solar Technologies, Inc. (the “Company”), (i) all reports on Forms 3, 4 |
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| April 17, 2023 |
Exhibit 99.2 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James H. Carroll, individually, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of securities of Ascent Solar Technologies, Inc. (the “Company”), (i) all reports on Forms 3, 4 |
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| April 17, 2023 |
Exhibit 99.1 Joint Filing Agreement among the Reporting Persons Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, $0.0001 par value, of Ascent Solar Technologies, Inc. Each of the undersigned acknowledges that |
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| April 17, 2023 |
Exhibit 99.4 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James H. Carroll, individually, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of securities of Ascent Solar Technologies, Inc. (the “Company”), (i) all reports on Forms 3, 4 |
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| April 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 13, 2023 (April 12, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| April 13, 2023 |
Exhibit 10.1 Execution Version AMENDMENT TO WAIVER AND AMENDMENT AGREEMENT This Amendment to Waiver and Amendment Agreement (this “Agreement”) is entered into as of April 12, 2023, by and among ASCENT SOLAR TECHNOLOGIES, INC. (the “Company”) and each of the undersigned Purchasers (the “Consenting Purchasers”). Recitals WHEREAS, on March 29, 2023, the Company and each of the Consenting Purchasers e |
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| April 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 7) Under the Securities Exchange Act of 1934 Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 (Title of Class of Securities) 043635606 (CUSIP Number) BD 1 Investment Holding, LLC 1675 South State Street, Suite B Dover, DE 19901 310-266-3528 (Name, Address and Tele |
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| April 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 4, 2023 (April 3, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of inco |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Com |
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| March 30, 2023 |
Exhibit 10.1 Execution Version WAIVER AND AMENDMENT AGREEMENT This Waiver and Amendment Agreement (this “Agreement”) is entered into as of March 29, 2023, by and among ASCENT SOLAR TECHNOLOGIES, INC. (the “Company”) and each of the undersigned Purchasers (the “Consenting Purchasers”). Recitals WHEREAS, the Company and each of the Consenting Purchasers have entered into that certain Securities Purc |
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| March 29, 2023 |
Exhibit 99.5 Power of Attorney for BD1 Investment Holding LLC(3) Exhibit 99.5 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James H. Carroll, individually, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of securities of Ascent Solar Technologies, Inc. (the “Company”), (i) all reports on Forms 3, 4 |
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| March 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 6) Under the Securities Exchange Act of 1934 Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 (Title of Class of Securities) 043635606 (CUSIP Number) BD 1 Investment Holding, LLC 1675 South State Street, Suite B Dover, DE 19901 310-266-3528 (Name, Address and Tele |
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| March 29, 2023 |
Exhibit 99.4 Power of Attorney for Ute Kuhn(3) EX-24.2 3 ex99x4.htm POWER OF ATTORNEY Exhibit 99.4 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James H. Carroll, individually, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of securities of Ascent Solar Technologies, Inc. (the “Co |
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| March 29, 2023 |
Exhibit 99.3 Power of Attorney for Johannes Kuhn(3) Exhibit 99.3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints James H. Carroll, individually, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as a beneficial owner of securities of Ascent Solar Technologies, Inc. (the “Company”), (i) all reports on Forms 3, 4 |
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| March 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2023 (March 23, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 043635606 (CUSIP Number) March 14, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designa |
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| March 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2023 (March 18, 2023) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techn |
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| March 7, 2023 |
Proposed Asset Acquisition Term Sheet March 7, 2023 Exhibit 99.1 Execution Version Proposed Asset Acquisition Term Sheet March 7, 2023 This term sheet (this “Term Sheet”) summarizes the terms and conditions of the proposed transaction between Ascent solar technologies, Inc., a Delaware corporation (“Acquiror”), FL1 Holding GmbH, a Germany company with limited liability registered with the commercial register of the local court of Nuremberg, Germany |
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| March 7, 2023 |
Exhibit 99.2 Ascent Solar Technologies, Inc. Announces First Step of Strategic Plan; Executes Term Sheet for Acquisition of Assets from Leading European Thin-Film Solar Manufacturer Ascent Solar’s turnaround plan starts with acquiring new revenue, manufacturing capabilities and intellectual property to fuel global expansion THORNTON, CO & ZURICH, CH / GLOBE NEWSWIRE / MARCH 7, 2023 – Ascent Solar |
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| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2023 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Comm |
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| February 14, 2023 |
SC 13G/A 1 fleursch13g.htm FLEUR CAPITAL SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 043635606 (CUSIP Number) December 31, 2022 (Date of Event which Requires Fil |
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| February 7, 2023 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 February 7, 2023 VIA EDGAR Gregory Herbers Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 RE: Ascent Solar Technologies, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-262482) (the “Registration Statement”) Dear Mr. Herb |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 5) Under the Securities Exchange Act of 1934 Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 (Title of Class of Securities) 043635606 (CUSIP Number) BD 1 Investment Holding, LLC 1675 South State Street, Suite B Dover, DE 19901 310-266-3528 (Name, Address and Tele |
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| January 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2) ? Definitive Information Statement Ascent Solar Technologies, Inc. (Name of Registra |
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| December 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 29, 2022 (December 23, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction |
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| December 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement Ascent Solar Technologies, Inc. (Name of Registr |
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| December 20, 2022 |
Ascent Solar Technologies Secures $50m Equity-based Financing Exhibit 99.1 Ascent Solar Technologies Secures $50m Equity-based Financing THORNTON, Colo. – December 20, 2022 – Ascent Solar Technologies, Inc. (NASDAQ: ASTI) (“ASTI” or the “Company”) – ASTI, the leading U.S. innovator in the design and manufacture of featherweight, flexible thin-film photovoltaic (PV) solutions, announced today that it has secured an equity-based financing facility in an aggreg |
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| December 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2022 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) ( |
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| December 20, 2022 |
Exhibit 10.1 Execution Version SECURITIES PURCHASE CONTRACT This Securities Purchase Contract (this “Agreement”) is dated as of December 19, 2022, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject |
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| December 19, 2022 |
424B5 1 ea170394-424b5ascent.htm PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) Registration No.: 333-267971 PROSPECTUS SUPPLEMENT (To Prospectus dated November 7, 2022) Ascent Solar Technologies, Inc. $12,500,000 Senior Secured Original Issue 10% Discount Convertible Advance Note Shares of Common Stock Underlying Convertible Advance Note A $12,500,000 Senior Secured Original Issue 10% Dis |
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| December 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2022 (December 11, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction |
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| December 12, 2022 |
Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made, entered into and effective as of December 12, 2022 (the “Effective Date”), by and between Ascent Solar Technologies, Inc. (the “Company”) and Paul Warley (the “Executive”). The Company and the Executive, each intending to be legally bound by the terms hereof, agree as follows: 1. Employment Term. The Company he |
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| December 12, 2022 |
Exhibit 10.1 SEPARATION AGREEMENT AND RELEASE OF ALL CLAIMS This Separation Agreement and Release of All Claims (the “Agreement”) between Michael Gilbreth (“Employee”) and Ascent Solar Technologies, Inc. (the “Company”) sets forth the agreed upon terms and conditions concerning Employee’s separation from the Company. These terms and conditions are as follows: 1. Employment Resignation; Termination |
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| December 12, 2022 |
Ascent Solar Reports Inducement Grant to New CFO Paul Warley Jr. Exhibit 99.2 Ascent Solar Reports Inducement Grant to New CFO Paul Warley Jr. THORNTON, Colo. – December 12, 2022 – Ascent Solar Technologies, Inc. (NASDAQ: ASTI) today announced that its board of directors compensation committee has granted Paul Warley Jr., the company’s newly appointed chief financial officer, an inducement grant of restricted stock units (RSUs) for an aggregate of 700,000 share |
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| December 12, 2022 |
Ascent Solar Technologies Hires Paul Warley Jr. as CFO Exhibit 99.1 Ascent Solar Technologies Hires Paul Warley Jr. as CFO THORNTON, Colo. – December 12, 2022 – Ascent Solar Technologies, Inc. (NASDAQ: ASTI) – the leader in designing and manufacturing state-of-the-art, lightweight, flexible thin-film photovoltaic (PV) solutions – has hired Paul Warley Jr. as its next chief financial officer (CFO). Warley comes to Ascent Solar with significant experien |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Te |
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| November 9, 2022 |
PROSPECTUS Filed Pursuant to Rule 424(b)(3) Registration No. 333-267915 ASCENT SOLAR TECHNOLOGIES, INC. $100,000,000 COMMON STOCK PREFERRED STOCK WARRANTS SUBSCRIPTION RIGHTS DEBT SECURITIES PURCHASE CONTRACTS UNITS We may offer and sell from time to time, in one or more series, any one of the following securities of our company, for total gross proceeds of up to $100,000,000: ? common stock; ? pr |
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| November 4, 2022 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 November 4, 2022 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Eranga Dias RE: Ascent Solar Technologies, Inc. (the ?Company?) Registration Statement on Form S-3 (File No. 333-267971) (the ?Registration Statement?) Dear Mr. Di |
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| November 3, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Ascent Solar Technologies, Inc. |
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| November 3, 2022 |
As filed with the U.S. Securities and Exchange Commission on November 3, 2022. As filed with the U.S. Securities and Exchange Commission on November 3, 2022. Registration No. 333-267971 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Ascent Solar Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 3674 20-3672603 (State or other jurisdict |
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| October 28, 2022 |
PROSPECTUS Filed Pursuant to Rule 424(b)(3) Registration No. 333-267915 ASCENT SOLAR TECHNOLOGIES, INC. 1,013,595 Shares of Common Stock and 1,415,095 Shares of Common Stock Issuable on Exercise of Warrants Offered by the Selling Stockholders This prospectus relates to the resale by the selling stockholders identified in this prospectus, or their pledgees, donees, transferees, distributees, benefi |
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| October 26, 2022 |
Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 Ascent Solar Technologies, Inc. 12300 Grant Street Thornton, CO 80241 October 26, 2022 VIA EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 Attn: Eranga Dias RE: Ascent Solar Technologies, Inc. (the ?Company?) Registration Statement on Form S-3 (File No. 333-267915) (the ?Registration Statement?) Dear Mr. Di |
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| October 21, 2022 |
Exhibit 4.6 ASCENT SOLAR TECHNOLOGIES, INC., as ISSUER and [ ], as INDENTURE TRUSTEE INDENTURE Dated as of [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 4 Section 1.03 Incorporation by Reference of Trust Indenture Act 4 Section 1.04 Rules of Construction 4 ARTICLE II THE SECURITIES 5 Section 2.01 Issuable |
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| October 21, 2022 |
`Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Ascent Solar Technologies, Inc. |
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| October 21, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 21, 2022. Registration No. 333-[ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Ascent Solar Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 3674 20-3672603 (State or other jurisdiction of incorporation o |
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| October 18, 2022 |
As filed with the U.S. Securities and Exchange Commission on October 18, 2022. As filed with the U.S. Securities and Exchange Commission on October 18, 2022. Registration No. 333-[ ] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporat |
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| October 18, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) Ascent Solar Technologies, Inc. |
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| September 27, 2022 |
Exhibit 10.1 CERTAIN IDENTIFIED INFORMATION HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED, AND HAS BEEN MARKED WITH ?[***]? TO INDICATE WHERE OMISSIONS HAVE BEEN MADE EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?) is made, entered into and effective as of September 21, 2022 (the ?Effective Date?), by |
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| September 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2022 (September 21, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdicti |
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| September 22, 2022 |
Exhibit 10.1 Execution SEPARATION AGREEMENT AND RELEASE OF ALL CLAIMS This Separation Agreement and Release of All Claims (the ?Agreement?) between Kong Hian (a/k/a ?Victor?) Lee (?Employee?) and Ascent Solar Technologies, Inc. (the ?Company?) sets forth the agreed upon terms and conditions concerning Employee?s separation from the Company. These terms and conditions are as follows: 1. Employment |
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| September 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2022 (September 16, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdicti |
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| September 12, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2022 (September 12, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdicti |
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| September 12, 2022 |
Exhibit 99.1 Ascent Solar To Present At The H.C. Wainwright 24th Annual Global Investment Conference; Announces New Corporate Presentation THORNTON, CO, September 12, 2022 (GLOBE NEWSWIRE) ? via NewMediaWire ? Ascent Solar Technologies, Inc. (NASDAQ: ASTI), a developer and manufacturer of state-of-the-art, lightweight and flexible thin-film photovoltaic (PV) solutions (?Ascent Solar?, ?Ascent? or |
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| September 12, 2022 |
Exhibit 99.2 FLEXIBLE & LIGHTWEIGHT SOLAR MODULES FOR THE NEXT BIG THING Victor Lee , President & CEO 9/12/2022 COPYRIGHT ? 2022 Ascent Solar Technologies, Inc. CONFIDENTIAL 1 In addition to historical information, this presentation contains forward ? looking statements that are based on assumptions made by management regarding future circumstances over which the company may have little or no cont |
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| August 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ascent Solar Technologies, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 043635606 (CUSIP Number) August 19, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designa |
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| August 19, 2022 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2022 (August 19, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of |
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| August 19, 2022 |
EX-10.3 2 ex10x3.htm COMMON STOCK WARRANT DATED AUGUST 19, 2022 Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, M |
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| August 17, 2022 |
ASCENT SOLAR TECHNOLOGIES, INC. 600,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259837 PROSPECTUS SUPPLEMENT NO. 4 (To Prospectus Dated October 12, 2021) ASCENT SOLAR TECHNOLOGIES, INC. 600,000 Shares of Common Stock This prospectus supplement No. 4 updates, amends and supplements the prospectus dated October 12, 2021 (the ?Prospectus?), relating to the resale by the selling stockholders identified in the Prospectus, or th |
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| August 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Ascent Solar Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 20-3672603 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identifi |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Technol |
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| August 12, 2022 |
Exhibit 99.1 CAPITALIZATION The following table sets forth our capitalization at June 30, 2022, on a pro forma basis, to give effect to the conversion and issuance of certain convertible notes, and on a pro forma, as adjusted basis, to give effect to the sale of our common stock and warrants in our previously announced Private Placement, and the application of the proceeds derived from the sale of |
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| August 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2022 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of incorporation) (Co |
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| August 8, 2022 |
Exhibit 10.1 THIS PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) AN OPINION OF COUNSEL (WHICH COUNSEL SHALL BE SELEC |
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| August 8, 2022 |
Exhibit 99.1 CAPITALIZATION The following table sets forth our capitalization at March 31, 2022, on a pro forma basis, to give effect to the conversion and issuance of certain convertible notes, and on a pro forma, as adjusted basis, to give effect to the sale of our common stock and warrants in the Private Placement, and the application of the proceeds derived from the sale of such securities in |
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| August 8, 2022 |
Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| August 8, 2022 |
Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of August 8, 2022, between Ascent Solar Technologies, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and c |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2022 (August 3, 2022) ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-32919 20-3672603 (State or other jurisdiction of in |
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| May 20, 2022 |
ASCENT SOLAR TECHNOLOGIES, INC. 600,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259837 PROSPECTUS SUPPLEMENT NO. 3 (To Prospectus Dated October 12, 2021) ASCENT SOLAR TECHNOLOGIES, INC. 600,000 Shares of Common Stock This prospectus supplement No. 3 updates, amends and supplements the prospectus dated October 12, 2021 (the ?Prospectus?), relating to the resale by the selling stockholders identified in the Prospectus, or th |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File No. 001-32919 Ascent Solar Techno |
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| April 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Ascent Solar Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 20-3672603 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identifi |
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| April 5, 2022 |
ASCENT SOLAR TECHNOLOGIES, INC. 600,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259837 PROSPECTUS SUPPLEMENT NO. 2 (To Prospectus Dated October 12, 2021) ASCENT SOLAR TECHNOLOGIES, INC. 600,000 Shares of Common Stock This prospectus supplement No. 2 updates, amends and supplements the prospectus dated October 12, 2021 (the ?Prospectus?), relating to the resale by the selling stockholders identified in the Prospectus, or th |
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| April 5, 2022 |
As filed with the Securities and Exchange Commission on April 5, 2022. POS EX 1 asti-posex.htm POS EX As filed with the Securities and Exchange Commission on April 5, 2022. Registration No. 333-259837 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ASCENT SOLAR TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 367 |
