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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/21/24 Ascent Solar Technologies, Inc. 10-K 12/31/23 94:11M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 2.59M
2: EX-23.1 Consent of Expert or Counsel HTML 27K
7: EX-97 Clawback Policy re: Recovery of Erroneously HTML 35K
Awarded Compensation
3: EX-31.1 Certification -- §302 - SOA'02 HTML 31K
4: EX-31.2 Certification -- §302 - SOA'02 HTML 31K
5: EX-32.1 Certification -- §906 - SOA'02 HTML 29K
6: EX-32.2 Certification -- §906 - SOA'02 HTML 29K
9: R1 Document and Entity Information HTML 95K
10: R2 Balance Sheets HTML 153K
11: R3 Balance Sheets (Parenthetical) HTML 54K
12: R4 Statements of Operations and Comprehensive Income HTML 112K
13: R5 Statement of Stockholders' Equity (Deficit) HTML 174K
14: R6 Statement of Stockholders' Equity (Deficit) HTML 33K
(Parenthetical)
15: R7 Consolidated Statements of Cash Flows HTML 140K
16: R8 Organization HTML 33K
17: R9 Summary of Significant Accounting Policies HTML 152K
18: R10 Liquidity, Continued Operations, and Going Concern HTML 33K
19: R11 Related Party Transactions HTML 36K
20: R12 Asset Acquisition HTML 46K
21: R13 Property, Plant and Equipment HTML 50K
22: R14 Operating Leases HTML 56K
23: R15 Inventories HTML 41K
24: R16 Notes Payable HTML 33K
25: R17 Convertible Notes HTML 184K
26: R18 Series A Preferred Stock HTML 33K
27: R19 Series 1A Preferred Stock HTML 32K
28: R20 Series 1B Preferred Stock HTML 36K
29: R21 Stockholders' Equity (Deficit) HTML 107K
30: R22 Share-Based Compensation HTML 61K
31: R23 Income Taxes HTML 103K
32: R24 Commitments and Contingencies HTML 35K
33: R25 Retirement Plan HTML 34K
34: R26 Subsequent Events HTML 29K
35: R27 Summary of Significant Accounting Policies HTML 205K
(Policies)
36: R28 Summary of Significant Accounting Policies HTML 106K
(Tables)
37: R29 Asset Acquisition (Tables) HTML 38K
38: R30 Property, Plant and Equipment (Tables) HTML 47K
39: R31 Operating Leases (Tables) HTML 50K
40: R32 Inventories (Tables) HTML 41K
41: R33 Convertible Notes (Tables) HTML 154K
42: R34 Stockholders' Equity (Deficit) (Tables) HTML 83K
43: R35 Share-Based Compensation (Tables) HTML 51K
44: R36 Income Taxes (Tables) HTML 95K
45: R37 ORGANIZATION - Additional Information (Details) HTML 28K
46: R38 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 93K
Additional Information (Details)
47: R39 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 41K
Property, Plant and Equipment (Details)
48: R40 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 37K
Future Amortization Expense of Patents (Details)
49: R41 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - Other HTML 32K
Assets (Details)
50: R42 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 32K
Summary of Deferred Revenue (Details)
51: R43 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 70K
Schedule of Cumulative Effect of Changes in
Financial Statement (Details)
52: R44 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 92K
Schedule of Impact Due to Change in Accounting
Principle on Net Income and Earnings (Details)
53: R45 LIQUIDITY, CONTINUED OPERATIONS, AND GOING CONCERN HTML 38K
- Additional Information (Details)
54: R46 RELATED PARTY TRANSACTIONS - Additional HTML 56K
Information (Details)
55: R47 ASSET ACQUISITION - Additional Information HTML 58K
(Details)
56: R48 ASSET ACQUISITION - Summary of Asset Price HTML 41K
Allocation (Details)
57: R49 PROPERTY, PLANT AND EQUIPMENT - Schedule of HTML 44K
Property, Plant and Equipment (Details)
58: R50 PROPERTY, PLANT AND EQUIPMENT - Additional HTML 35K
Information (Details)
59: R51 OPERATING LEASES - Additional Information HTML 64K
(Details)
60: R52 OPERATING LEASES - Schedule of Assets and HTML 32K
Liabilities Related to Company's Lease (Details)
61: R53 OPERATING LEASES - Schedule Future Maturities of HTML 41K
Operating Lease Liability (Details)
62: R54 INVENTORIES - Schedule of Inventories (Details) HTML 35K
63: R55 NOTES PAYABLE - Additional Information (Details) HTML 44K
64: R56 SECURED PROMISSORY NOTE - Global Ichiban Secured HTML 31K
Promissory Notes - Additional Information
(Details)
65: R57 PROMISSORY NOTES - Additional Information HTML 28K
(Details)
66: R58 CONVERTIBLE NOTES - Schedule of Convertible Notes HTML 69K
(Details)
67: R59 CONVERTIBLE NOTES - BD 1 Convertible Note - HTML 76K
Additional Information (Details)
68: R60 CONVERTIBLE NOTES - Nanyang Convertible Note - HTML 43K
Additional Information (Details)
69: R61 CONVERTIBLE NOTES - Fleur Convertible Note - HTML 42K
Additional Information (Details)
70: R62 CONVERTIBLE NOTES - Sabby / L1 Convertible Note - HTML 229K
Additional Information (Details)
71: R63 CONVERTIBLE NOTES - Sabby / L1 Convertible Note - HTML 44K
Schedule of Fair Value of Warrants (Details)
72: R64 CONVERTIBLE NOTES - Sabby / L1 Convertible Note - HTML 44K
Summary of Allocation of Proceeds (Details)
73: R65 CONVERTIBLE NOTES - Sabby / L1 Convertible Note - HTML 42K
Summary of Convertible Notes Prepayment (Details)
74: R66 CONVERTIBLE NOTES - Sabby / L1 Convertible Note - HTML 44K
Summary of Settlement of Debt (Details)
75: R67 CONVERTIBLE NOTES - Sabby / L1 Convertible Note - HTML 45K
Summary of Conversion Payable Activity (Details)
76: R68 SERIES A PREFERRED STOCK - Additional Information HTML 59K
(Details)
77: R69 SERIES 1A PREFERRED STOCK - Additional Information HTML 61K
(Details)
78: R70 SERIES 1B PREFERRED STOCK - Additional Information HTML 69K
(Details)
79: R71 Stockholders' Equity (DEFICIT) - Additional HTML 147K
Information (Details)
80: R72 Stockholders' Equity (DEFICIT) - Schedule of Fair HTML 42K
Value of Warrants (Details)
81: R73 Stockholders' Equity (DEFICIT) - Schedule of Stock HTML 76K
by Class (Details)
82: R74 SHARE-BASED COMPENSATION - Additional Information HTML 79K
(Details)
83: R75 SHARE-BASED COMPENSATION - Summary of Non-vested HTML 50K
Restricted Stock and Related Activity (Details)
84: R76 INCOME TAXES - Additional Information (Details) HTML 42K
85: R77 INCOME TAXES - Deferred Tax Assets (Details) HTML 58K
86: R78 INCOME TAXES - Tax Rate Reconciliation (Details) HTML 41K
87: R79 COMMITMENTS AND CONTINGENCIES - Additional HTML 51K
Information (Details)
88: R80 RETIREMENT PLAN - Additional Information (Details) HTML 37K
89: R81 SUBSEQUENT EVENTS - Additional Information HTML 33K
(Details)
91: XML IDEA XML File -- Filing Summary XML 176K
94: XML XBRL Instance -- asti-20231231_htm XML 2.33M
90: EXCEL IDEA Workbook of Financial Report Info XLSX 204K
8: EX-101.SCH XBRL Taxonomy Extension Schema With Embedded XSD 5.53M
Linkbases Document -- asti-20231231
92: JSON XBRL Instance as JSON Data -- MetaLinks 658± 1.02M
93: ZIP XBRL Zipped Folder -- 0000950170-24-017977-xbrl Zip 495K
| EX-97 |
ASCENT SOLAR TECHNOLOGIES, INC.
POLICY REGARDING THE RECOUPMENT OF CERTAIN PERFORMANCE-BASED COMPENSATION PAYMENTS
Purpose and Scope. This policy sets forth the conditions under which Ascent Solar Technologies, Inc. (the “Company”) will seek reimbursement with respect to incentive-based compensation received by, and to recover profits realized from the sale of shares of the Company’s common stock by, executive officers of the Company (the “Policy”).
Policy Applicable to Executive Officers. For purposes of this Policy, “executive officer” means the Company's chief executive officer, chief financial officer and all other Section 16 officers.
Company’s Obligation to Recover Compensation. In each instance where all three of the following factors exist:
The Company will seek to reasonably promptly recover from each current and former executive officer of the Company the portion of any incentive-based compensation (whether cash or equity, including stock options awarded as compensation) received by such executive officer for or during each of the restated periods that is greater than the amount that would have been received had the incentive-based compensation been determined based on the restated amounts, without regard to any taxes paid. If the incentive-based compensation is based on stock price or total stockholder return, the amount to be recovered by the Company must be based on a reasonable estimate of the effect of the accounting restatement on the stock price or total stockholder return upon which the
incentive-based compensation was received, and the Company must maintain documentation of the determination of that reasonable estimate and provide such documentation to Nasdaq.
The Company is obligated to recover erroneously paid or awarded compensation on a “no fault” basis, regardless of whether any misconduct occurred or of when (or if) the restated financial statements are filed. This obligation is without regard to an executive officer’s responsibility for the erroneous financial statements. A restatement is deemed to have occurred for purposes of determining what compensation is covered by the earlier of (i) the date the Company’s Audit Committee concludes, or reasonably should have concluded, that the Company is required to prepare an accounting restatement; or (ii) the date a court, regulatory or other legally authorized body directs the Company to prepare an accounting restatement.
The Company may, to the extent permitted by law, enforce an executive officer’s repayment obligation under this Policy by reducing any amounts that may be owing from time-to-time by the Company or any of its subsidiaries to such officer or employee, whether as wages, severance, vacation pay or in the form of any other benefit or for any other reason.
Exceptions to Policy. The Company is not obligated to recover compensation under this Policy if the Compensation Committee determines that recovery of an executive officer’s compensation would be impracticable and one of the following three conditions is satisfied:
Authority under Policy. The Audit Committee shall have full and final authority to make the determination set forth in Section 2(b)(ii) above, and the Compensation Committee shall have full and final authority to make all other determinations under this Policy.
Effective Date of Policy. This Policy shall apply to incentive-based compensation that is approved, granted or awarded on or after the Effective Date that results from attainment of a financial reporting measure based on or derived from financial information for any fiscal period ending on or after the Effective Date. From and after the Effective Date, each award agreement or other document setting forth the terms and conditions of any incentive-based compensation shall include a provision incorporating the requirements of this Policy.
Additional Remedies. This Policy does not limit any other remedies the Company may have available to it in the circumstances, which may include, without limitation, dismissing an employee or initiating other disciplinary procedures. The provisions of this Policy are in addition to (and not in lieu of) any rights to repayment the Company may have under Section 304 of the Sarbanes-Oxley Act of 2002 (applicable to the Chief Executive Officer and Chief Financial Officer only), and Section 10D of the Securities Exchange Act of 1934, as amended, and other applicable laws.
No Indemnification. Notwithstanding anything to the contrary in any other policy of the Company or any agreement between the Company and an executive officer, no executive officer shall be indemnified by the Company against the loss of any erroneously paid or awarded compensation.
Disclosure of Policy. This Policy will be summarized and disclosed each year in the proxy statement for the Company’s annual meeting of stockholders. The Company will also file this Policy as an exhibit to its Exchange Act annual report.
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/21/24 | None on these Dates | ||
| For Period end: | 12/31/23 | |||
| 11/28/22 | ||||
| List all Filings | ||||