Initial Statement of Beneficial Ownership (3)

Date : 02/01/2019 @ 6:42PM
Source : Edgar (US Regulatory)
Stock : Ascent Solar Technologies, Inc. (ASTI)
Quote : 0.0006  -0.0001 (-14.29%) @ 7:49PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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
                      

1. Name and Address of Reporting Person *

Widjaja Jason

2. Date of Event Requiring Statement (MM/DD/YYYY)
1/11/2019 

3. Issuer Name and Ticker or Trading Symbol

Ascent Solar Technologies, Inc. [ASTI]

(Last)        (First)        (Middle)

7, CHWEE CHIAN RD

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

SINGAPORE 119749       

(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


Table I - Non-Derivative Securities Beneficially Owned
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)
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
Convertible Promissory Note   1/11/2019     (1) Common Stock   0.0   (1)   (1) D    

Explanation of Responses:
(1)  The reporting person purchased a $330,000 principal amount convertible note from the issuer. The note may be converted at the holder's option into shares of the issuer's common stock at a variable conversion price based upon a discount to the Company's per share market price at the time of conversion. The note matures on 1/11/2020. The note may not be converted if the number of common shares to be received by the reporting person would result in the reporting person beneficially owning more than 19.99% of all common shares then outstanding. Accordingly, the reporting person may be deemed to have beneficial ownership of up to 19.99% of the issuer's common stock.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Widjaja Jason
7, CHWEE CHIAN RD
SINGAPORE 119749

X


Signatures
/s/ Jason Widjaja 1/23/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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