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BD1 Investment Holding, LLC, et al. – ‘3/A’ for 12/18/20 re: Ascent Solar Technologies, Inc.

On:  Tuesday, 3/2/21, at 5:37pm ET   ·   For:  12/18/20   ·   Accession #:  1079973-21-137   ·   File #:  1-32919

Previous ‘3’:  ‘3’ on 12/28/20 for 12/18/20   ·   Latest ‘3’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/02/21  BD1 Investment Holding, LLC       3/A                    1:7K   Ascent Solar Technologies, Inc.   Edgar Tech & Bus… Inc/FA
          Kuhn Ute
          Kuhn Johannes

Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3/A         Amendment to Initial Statement of Beneficial        HTML      3K 
                Ownership of Securities by an Insider --                         
                ownership.xml/2.6


        

This ‘3/A’ Document is an XML Data File that may be rendered in various formats:

  Form 3    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Amendment to Initial Statement of Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0206 </schemaVersion>
<documentType> 3/A </documentType>
<periodOfReport> 2020-12-18 </periodOfReport>
<dateOfOriginalSubmission> 2020-12-18 </dateOfOriginalSubmission>
<noSecuritiesOwned> 0 </noSecuritiesOwned>
<issuer>
<issuerCik> 0001350102 </issuerCik>
<issuerName> Ascent Solar Technologies, Inc. </issuerName>
<issuerTradingSymbol> ASTI </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001837216 </rptOwnerCik>
<rptOwnerName> BD1 Investment Holding, LLC </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 1675 SOUTH STATE STREET, SUITE B </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> DOVER </rptOwnerCity>
<rptOwnerState> DE </rptOwnerState>
<rptOwnerZipCode> 19901 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle></officerTitle>
<otherText></otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001837227 </rptOwnerCik>
<rptOwnerName> Kuhn Johannes </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 70-72 MUEHLENWEG </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> L-2155 LUXEMBOURG </rptOwnerCity>
<rptOwnerState></rptOwnerState>
<rptOwnerZipCode></rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle></officerTitle>
<otherText></otherText>
</reportingOwnerRelationship>
</reportingOwner>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001847825 </rptOwnerCik>
<rptOwnerName> Kuhn Ute </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 70-72 MUEHLENWEG </rptOwnerStreet1>
<rptOwnerStreet2></rptOwnerStreet2>
<rptOwnerCity> L-2155 LUXEMBOURG </rptOwnerCity>
<rptOwnerState></rptOwnerState>
<rptOwnerZipCode></rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 0 </isDirector>
<isOfficer> 0 </isOfficer>
<isTenPercentOwner> 1 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle></officerTitle>
<otherText></otherText>
</reportingOwnerRelationship>
</reportingOwner>
<derivativeTable>
<derivativeHolding>
<securityTitle>
<value> Unsecured convertible promissory notes </value>
<footnoteId id="F1"/>
<footnoteId id="F3"/>
</securityTitle>
<conversionOrExercisePrice>
<value> 0.0001 </value>
</conversionOrExercisePrice>
<exerciseDate>
<value> 2020-12-18 </value>
</exerciseDate>
<expirationDate>
<footnoteId id="F2"/>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 105000000000 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeHolding>
</derivativeTable>
<footnotes>
<footnote id="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>
<footnote id="F2"> The maturity date of the Exchange Notes is December 18, 2025. </footnote>
<footnote id="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. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ Todd Steadman, Manager of BD1 Investment Holding, LLC and attorney-in-fact for Johannes Kuhn and Ute Kuhn </signatureName>
<signatureDate> 2021-03-02 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001079973-21-000137   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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