Role
10%+ Owner
Signature
/s/ Chee Wee YAP, Investment Committee Member /s/ Su Peng GOH, Investment Committee Member /s/ Madison LIN, Investment Committee Member
Stock symbol
ASTI
Transactions as of
Mar 14, 2023
Transactions value $
$0
Form type
3
Date filed
3/23/2023, 03:11 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ASTI Common Stock 3.68M Mar 14, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ASTI Warrants Mar 14, 2023 Common Stock 1.42M $6.00 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.