Amended Statement of Beneficial Ownership (3/a)
March 02 2021 - 5:38PM
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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BD1 Investment Holding, LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/18/2020
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3. Issuer Name and Ticker or Trading Symbol
Ascent Solar Technologies, Inc. [ASTI]
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(Last)
(First)
(Middle)
1675 SOUTH STATE STREET, SUITE B |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
DOVER, DE 19901
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 12/18/2020
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ 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 |
Unsecured convertible promissory notes (1)(3) | 12/18/2020 | (2) | Common Stock | 105000000000 | $0.0001 | D | |
Explanation of Responses: |
(1) | 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. |
(2) | The maturity date of the Exchange Notes is December 18, 2025. |
(3) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BD1 Investment Holding, LLC 1675 SOUTH STATE STREET, SUITE B DOVER, DE 19901 |
| X |
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Kuhn Johannes 70-72 MUEHLENWEG L-2155 LUXEMBOURG |
| X |
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Kuhn Ute 70-72 MUEHLENWEG L-2155 LUXEMBOURG |
| X |
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Signatures
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/s/ Todd Steadman, Manager of BD1 Investment Holding, LLC and attorney-in-fact for Johannes Kuhn and Ute Kuhn | | 3/2/2021 |
**Signature of Reporting Person | Date |