Initial Statement of Beneficial Ownership (3)
December 21 2020 - 4:50PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Peterson David Theodore JR |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/10/2020
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3. Issuer Name and Ticker or Trading Symbol
Ascent Solar Technologies, Inc. [ASTI]
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(Last)
(First)
(Middle)
12300 GRANT STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
THORNTON, CO 80241
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks: The reporting person is currently the Manager of Crowdex Investment, LLC ("Crowdex"). Crowdex is a newly formed limited liability company whose 100% indirect beneficial owner is Bernd Fortsch. Through its ownership of Common Stock and Series 1A Convertible Preferred Stock of the Company, Crowdex currently holds majority voting control of the Company. Mr. Peterson disclaims beneficial ownership of any Company securities owned by Crowdex. |
No securities are beneficially owned. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Peterson David Theodore JR 12300 GRANT STREET THORNTON, CO 80241 | X |
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Signatures
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/s/ David Peterson | | 12/21/2020 |
**Signature of Reporting Person | Date |