Form D Raw Data - Electronic Filing Depository

EFDID: 205104EFD: Raw Data

Issuer: Ascent Solar Technologies, Inc. (0001350102) - D

Accession: 0001350102-16-000197 () (EDGAR Files) (Form D)

Edgar Posted: Oct. 27, 2016
EFD Posted: Oct. 28, 2016

- < edgarSubmission >

< schemaVersion > X0707 </ schemaVersion >

< submissionType > D </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001350102 </ cik >

< entityName > Ascent Solar Technologies, Inc. </ entityName >

- < issuerAddress >

< street1 > 12300 GRANT STREET </ street1 >

< city > THORNTON </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80241 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > (720) 872-5000 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Corporation </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

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- < relatedPersonName >

< firstName > VICTOR </ firstName >

< lastName > LEE </ lastName >

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< street1 > 12300 GRANT STREET </ street1 >

< city > THORNTON </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80241 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

< relationship > Director </ relationship >

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< relationshipClarification />

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- < relatedPersonInfo >

- < relatedPersonName >

< firstName > AMIT </ firstName >

< lastName > KUMAR </ lastName >

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- < relatedPersonAddress >

< street1 > 12300 GRANT STREET </ street1 >

< city > THORNTON </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80241 </ zipCode >

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< relationship > Director </ relationship >

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< firstName > BIAO </ firstName >

< middleName > "WINSTON" </ middleName >

< lastName > XU </ lastName >

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< street1 > 12300 GRANT STREET </ street1 >

< city > THORNTON </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80241 </ zipCode >

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< firstName > KIM </ firstName >

< lastName > HUNTLEY </ lastName >

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< street1 > 12300 GRANT STREET </ street1 >

< city > THORNTON </ city >

< stateOrCountry > CO </ stateOrCountry >

< stateOrCountryDescription > COLORADO </ stateOrCountryDescription >

< zipCode > 80241 </ zipCode >

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< firstName > G. </ firstName >

< middleName > THOMAS </ middleName >

< lastName > MARSH </ lastName >

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< city > THORNTON </ city >

< stateOrCountry > CO </ stateOrCountry >

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< zipCode > 80241 </ zipCode >

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< industryGroupType > Other Technology </ industryGroupType >

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- < issuerSize >

< revenueRange > $5,000,001 - $25,000,000 </ revenueRange >

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- < federalExemptionsExclusions >

< item > 06b </ item >

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- < typeOfFiling >

- < newOrAmendment >

< isAmendment > false </ isAmendment >

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- < dateOfFirstSale >

< value > 2016-10-14 </ value >

</ dateOfFirstSale >

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- < durationOfOffering >

< moreThanOneYear > false </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isOtherType > true </ isOtherType >

< descriptionOfOtherType > Series J-1 Convertible Preferred Stock and the shares of common stock issuable upon conversion thereof </ descriptionOfOtherType >

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- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

< salesCompensationList />

- < offeringSalesAmounts >

< totalOfferingAmount > 1000000 </ totalOfferingAmount >

< totalAmountSold > 1000000 </ totalAmountSold >

< totalRemaining > 0 </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 1 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

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< dollarAmount > 0 </ dollarAmount >

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< dollarAmount > 0 </ dollarAmount >

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- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

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< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Ascent Solar Technologies, Inc. </ issuerName >

< signatureName > /s/ James H. Carroll </ signatureName >

< nameOfSigner > James H. Carroll </ nameOfSigner >

< signatureTitle > Outside Counsel </ signatureTitle >

< signatureDate > 2016-10-27 </ signatureDate >

</ signature >

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