Key facts
- This page summarizes Lucro Investments VCC - ESG Opportunities Fund's Form 3 filing for Ascent Solar Technologies, Inc. (ASTI).
- 0 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 23 Mar 2023, 15:11.
Lucro Investments VCC - ESG Opportunities Fund - 14 Mar 2023 Form 3 Insider Report for Ascent Solar Technologies, Inc. (ASTI)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- ASTI
- Reported as of
- 14 Mar 2023
- Net transaction value
- $0
- Reporting owner signature
- /s/ Chee Wee YAP, Investment Committee Member /s/ Su Peng GOH, Investment Committee Member /s/ Madison LIN, Investment Committee Member
Source evidence
Original filing metadata and source links for verification.
3 source fields
Reporting owner
1 detail
Key filing fact
Lucro Investments VCC - ESG Opportunities Fund filed Form 3 for Ascent Solar Technologies, Inc. (ASTI) on 23 Mar 2023.
Change
- No earlier filing in this sequence is available for direct comparison.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Official SEC source
View source filing
Ownership activity is grounded in SEC Form 3 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ASTI
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,679,255
- Date
- 14 Mar 2023
- Ownership
- Direct
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ASTI
holding
Derivative
Warrants
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- Date
- 14 Mar 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 1,415,095
- Exercise price
- $6.00
- Footnotes
- F1
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 1 footnote
Footnote 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.