Form 4 for ASTI Ascent Solar Technologies, Inc.

Accepted 2022-03-02 00:00:00 ET · period of report 2022-02-01 · accession 0001493152-22-005853 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2022-03-02	2022-02-01	ASTI	BD1 Investment Holding, LLC	10%	C - Cnv Deriv	$0.5	+15.80M	15.93M	+11,850%	+$7.90M
D	2022-03-02	2022-02-01	ASTI	BD1 Investment Holding, LLC	10%	C - Cnv Deriv	$0.5	-15.80M	0	-100%	-$7.90M

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-02-01	C	A	15,800,000	$0.5	15,933,334	D	—	—	(F1) Represents two unsecured convertible promissory notes with principal amounts of $7,740,000 and $160,000, which converted into shares of common stock at a conversion price per share of $0.50. The conversion price was adjusted to reflect a reverse stock split of the Issuer's common stock at a ratio of 1-5,000 on January 28, 2022 (the "Reverse Stock Split"). This joint filing on Form 4 includes Mr. Johannes Kuhn and Mrs. Ute Kuhn who are the 100% indirect owners of BD1 Investment Holding, LLC. (F2) Reflects the Reverse Stock Split.
2	Derivative	Unsecured convertible promissory notes	2022-02-01	C	D	15,800,000	$0.5	0	D	$0.5 · 2020-12-18 to —	15,800,000 Common Stock	(F1) Represents two unsecured convertible promissory notes with principal amounts of $7,740,000 and $160,000, which converted into shares of common stock at a conversion price per share of $0.50. The conversion price was adjusted to reflect a reverse stock split of the Issuer's common stock at a ratio of 1-5,000 on January 28, 2022 (the "Reverse Stock Split"). This joint filing on Form 4 includes Mr. Johannes Kuhn and Mrs. Ute Kuhn who are the 100% indirect owners of BD1 Investment Holding, LLC. (F3) The maturity date is December 18, 2025.