Ascent Solar Technologies, Inc. — Director's Dealing 2023

Mar 23, 2023

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Ascent Solar Technologies, Inc. (ASTI)
CIK: 0001350102
Period of Report: 2023-03-14

Reporting Person: Lucro Investments VCC - ESG Opportunities Fund (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3679255	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrants	$6.00		Common Stock (1415095)		Direct

Footnotes

F1: Consists of 1,415,095 warrants ("Warrants") to acquire shares of Common Stock ("Common Stock") of Ascent Solar Technologies, Inc. on a one-for-one basis held by Lucro Investments VCC - ESG Opportunities Fund ("Lucro"). The Warrants were immediately exercisable upon their acquisition on August 19, 2022 and expire on August 19, 2027; provided however, that Lucro may not exercise the Warrants to the extent that, after giving effect to such exercise, Lucro would beneficially own in excess of 9.99% of the shares of Common Stock outstanding, or, at Lucro's election on not less than 61 days' notice, 19.99% of the shares of Common Stock outstanding.