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Washington, D.C.  20549





Pursuant to Section 13 or 15(d) of

The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): March 23, 2023 (March 18, 2023)



(Exact name of registrant as specified in its charter)


Delaware   001-32919   20-3672603
(State or other jurisdiction of incorporation)   (Commission File Number)   (I.R.S. Employer Identification No.)


  12300 Grant Street  
  Thornton, CO 80241  
  (Address of principal executive offices)   


  (720) 872-5000  
  (Registrant’s telephone number, including area code)  


Not Applicable 

(Former name, former address, and former fiscal year, if changed since last report.)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:

Title of each class   Trading Symbol(s)   Name of each exchange on which registered
Common   ASTI    Nasdaq Capital Market


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company 


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. 



Item 5.02 Departure of Directors or Certain Officers: Election of Directors; Appointment of Certain Officer; Compensatory Arrangements of Certain Officers.


Item 5.02 (a)Resignation of Existing Director.


Michael French resigned from the board of directors of Ascent Solar Technologies, Inc. (the “Company”) on March 18, 2023. This resignation was not the result of any dispute or disagreement with the Company on any matter relating to the operations, policies or practices of the Company.


The Company has launched a search for a new independent director to replace Mr. French. Adding a new independent director to the Company’s board and audit committee in the coming weeks will allow the Company to maintain compliance with the corporate governance rules of the Nasdaq Stock Market.


Item 9.01 Financial Statements and Exhibits.


(d) Exhibits    




  104   Cover Page Interactive Data File (embedded within the Inline XBRL document).





Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


March 23, 2023       By:   /s/ Paul Warley
                Name: Paul Warley
                Title: Chief Financial Officer




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