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Ownership Document
|
| Schema Version: X0206 |
| Document Type: 3/A |
| Period of Report: 12/18/20 |
| Date of Original Submission: 12/18/20 |
| No Securities Owned: 0 |
| Issuer: |
| Issuer CIK: 1350102 |
| Issuer Name: Ascent Solar Technologies, Inc. |
| Issuer Trading Symbol: ASTI |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1837216 |
| | Owner Name: BD1 Investment Holding, LLC |
| Reporting Owner Address: |
| | Owner Street 1: 1675 SOUTH STATE STREET, SUITE B |
| | Owner Street 2: |
| | Owner City: DOVER |
| | Owner State: DE |
| | Owner ZIP Code: 19901 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| | Officer Title: |
| | Other Text: |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1837227 |
| | Owner Name: Kuhn Johannes |
| Reporting Owner Address: |
| | Owner Street 1: 70-72 MUEHLENWEG |
| | Owner Street 2: |
| | Owner City: L-2155 LUXEMBOURG |
| | Owner State: |
| | Owner ZIP Code: |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| | Officer Title: |
| | Other Text: |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1847825 |
| | Owner Name: Kuhn Ute |
| Reporting Owner Address: |
| | Owner Street 1: 70-72 MUEHLENWEG |
| | Owner Street 2: |
| | Owner City: L-2155 LUXEMBOURG |
| | Owner State: |
| | Owner ZIP Code: |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| | Officer Title: |
| | Other Text: |
| Derivative Table: |
| Derivative Holding: |
| | Security Title: |
| | | Value: Unsecured convertible promissory notes |
| | | Footnote ID: F1 |
| | | Footnote ID: F3 |
| | Conversion or Exercise Price: |
| | | Value: 0.0001 |
| | Exercise Date: |
| | | Value: 12/18/20 |
| | Expiration Date: |
| | | Footnote ID: F2 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 105,000,000,000 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: BD 1 Investment Holding, LLC ("BD1") owns two unsecured convertible promissory notes with principal amounts of $10,340,000 and $160,000 ("Exchange Notes"), convertible at any time into 105,000,000,000 shares of Issuer's common stock at a fixed conversion price of $0.0001 per share. This joint filing on Form 3 includes Mr. Johannes Kuhn and Mrs. Ute Kuhn who are the 100% indirect owners of BD1. |
| Footnote - F2: The maturity date of the Exchange Notes is December 18, 2025. |
| Footnote - F3: This Form 3 amendment is being filed to correct the original Form 3 filed on December 28, 2020. The original Form 3 inadvertently omitted an additional Reporting Person, Ute Kahn, the spouse of the Johannes Kuhn, who is an indirect beneficial owner of BD1. |
| Owner Signature: |
| Signature Name: /s/ Todd Steadman, Manager of BD1 Investment Holding, LLC and attorney-in-fact for Johannes Kuhn and Ute Kuhn |
| Signature Date: 3/2/21 |
