UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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 | ||||
Option to acquire shares of Common Stock | 07/29/2014 | 08/15/2014(1) | Common Stock | 8,000,000 | $ 0.33 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHTARD Enterprises LTD. P.O.BOX 957, OFFSHORE INCORPORATIONS CTR ROAD TOWN TORTOLA, D8 VG1110 |
 |  X |  |  |
/s/ LI Jiuzhi, Director | 08/08/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Pursuant to the Stock Purchase Agreement between Ascent Solar Technologies, Inc. (the "Company") dated July 29, 2014 (the "Agreement"), the reporting person purchased 4,000,000 shares of common stock of the Company and was granted an immediately exercisable, until August 15, 2014, option to purchase an additional 8,000,000 shares of common stock of the Company. The Agreement was filed as Exhibit 10.1 to the Company's Current Report on Form 8-K filed July 31, 2014. |