0001209191-16-122748.txt : 20160523
0001209191-16-122748.hdr.sgml : 20160523
20160523195342
ACCESSION NUMBER: 0001209191-16-122748
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160519
FILED AS OF DATE: 20160523
DATE AS OF CHANGE: 20160523
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ascent Solar Technologies, Inc.
CENTRAL INDEX KEY: 0001350102
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 203672603
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 12300 GRANT STREET
CITY: THORNTON
STATE: CO
ZIP: 80241
BUSINESS PHONE: (720) 872-5000
MAIL ADDRESS:
STREET 1: 12300 GRANT STREET
CITY: THORNTON
STATE: CO
ZIP: 80241
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIAO XU
CENTRAL INDEX KEY: 0001546831
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32919
FILM NUMBER: 161670535
MAIL ADDRESS:
STREET 1: 12300 GRANT STREET
CITY: THORNTON
STATE: CO
ZIP: 80241
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-05-19
0
0001350102
Ascent Solar Technologies, Inc.
ASTI
0001546831
BIAO XU
12300 GRANT STREET
THORNTON
CO
80241
1
0
0
0
Common Stock
2016-05-19
4
A
0
1000000
0.00
A
1000000
D
Common Stock Option (Right to Buy)
1.01
2015-02-11
2025-02-11
Common Stock
100000
100000
D
Common Stock Option (Right to Buy)
0.06
2016-03-10
2026-03-10
Common Stock
100000
200000
D
Mr. Xu was granted 1,000,000 restricted stock units on March 10, 2016, subject to and contingent upon receipt of stockholder approval in accordance with Sections 9 and 10 of the Issuer's Restricted Stock Plan. The stockholders approved the restricted stock unit grant on May 19, 2016. Each unit represents a contingent right to receive one share of common stock of the Issuer. Restricted stock units vest as follows: 50% on September 10, 2016 and 50% on March 10, 2017.
Does not include shares held by TFG Radiant Investment Group Ltd. ("TFG Radiant"), which is the Issuer's largest stockholder. Mr. Xu is an investor in TFG Radiant and disclaims beneficial ownership of shares held by TFG Radiant (except to the extent of his pecuniary interest therein).
Xu Biao (aka Winston Xu) is a Board designee of TFG Radiant pursuant to the Amended and Restated Stockholders' Agreement between the Issuer and TFG Radiant, dated December 30, 2011.
/s/ James H. Carroll, Attorney-in-Fact
2016-05-23