COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC.Common Stock Purchase Warrant • April 9th, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Dawson James Securities, Inc. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof, to the extent permitted by the applicable SEC and FINRA rules (the “Initial Exercise Date”), and on or prior to 5:00 p.m. (New York City time) on [____], 2029 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), up to [___] shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • June 30th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of June 29, 2023 between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • August 30th, 2019 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of August 26, 2019, by and between Ascent Solar Technologies, Inc, a Delaware corporation, with headquarters located at 12300 Grant Street, Thornton, CO 80241 (the “Company”) and GS CAPITAL PARTNERS, LLC, with its address at 30 Broad Street, Suite 1201, New York, NY 10004 (the “Buyer”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • May 8th, 2019 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of May 2, 2019, by and between Ascent Solar Technologies, Inc., a Delaware corporation, with its address at 12300 Grant Street, Thornton, CO 80241 (the “Company”), and POWER UP LENDING GROUP LTD., a Virginia corporation, with its address at 111 Great Neck Road, Suite 216, Great Neck, NY 11021 (the “Buyer”).
PRE-FUNDED COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC.Pre-Funded Common Stock Purchase Warrant • September 18th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and until this Warrant is exercised in full (the “Termination Date”) but not thereafter, to subscribe for and purchase from Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b). This Warrant shall initially be issued and maintained in the form of a security held in book-entry form and the Depository Trust Company or its nominee (“DTC”) shall initially be the sole registered holder of this Warrant, subject to a Holder’s right t
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 23rd, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of [___], 2024, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
10% CONVERTIBLE PROMISSORY NOTE DUE SEPTEMBER __, 2017Convertible Security Agreement • September 14th, 2016 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
THIS 10% CONVERTIBLE PROMISSORY NOTE is one of a series of duly authorized and validly issued 10% Convertible Promissory Notes of Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), having its principal place of business at 12300 Grant Street, Thornton, CO 80241, designated as its 10% Convertible Promissory Note due September __, 2017 (this Note, the “Note” and, collectively with the other Notes of such series, the “Notes”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 20th, 2015 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of February 19, 2015, is by and among Ascent Solar Technologies, Inc., a Delaware corporation with offices located at 12300 Grant Street, Thornton, CO 80214 (the “Company”), and each of the investors listed on the Schedule of Buyers attached hereto (individually, a “Buyer” and collectively, the “Buyers”).
WARRANT AGENCY AGREEMENTWarrant Agency Agreement • February 11th, 2022 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This WARRANT AGENCY AGREEMENT, dated as of [●], 2022 (this “Agreement”), is among Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), Computershare, Inc., a Delaware corporation (“Computershare”), and its wholly-owned subsidiary, Computershare Trust Company, N.A., a federally chartered trust company (collectively with Computershare, the “Warrant Agent”).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • November 17th, 2014 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of November , 2014, is by and among Ascent Solar Technologies, Inc., a Delaware corporation with offices located at 12300 Grant Street, Thornton, CO 80214 (the “Company”), and the undersigned buyers (each, a “Buyer,” and collectively, the “Buyers”).
9,166,700 Shares of Common Stock ASCENT SOLAR TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • September 20th, 2012 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
AT THE MARKET OFFERING AGREEMENT May 16, 2024At the Market Offering Agreement • May 16th, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
Ascent Solar Technologies, Inc., a corporation organized under the laws of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows:
●] SHARES of Common Stock, Warrants TO PURCHASE [●] SHARES OF COMMON STOCK OF ASCENT SOLAR TECHNOLOGIES, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • March 15th, 2022 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
The undersigned, Ascent Solar Technologies, Inc., a company incorporated under the laws of Delaware (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement as being subsidiaries or affiliates of Ascent Solar Technologies, Inc., the “Company”), hereby confirms its agreement (this “Agreement”) with the several underwriters (such underwriters, including the Representative (as defined below), the “Underwriters” and each an “Underwriter”) named in Schedule I hereto for which H.C. Wainwright & Co., LLC is acting as representative to the several Underwriters (the “Representative” and if there are no Underwriters other than the Representative, references to multiple Underwriters shall be disregarded and the term Representative as used herein shall have the same meaning as Underwriter) on the terms and conditions set forth herein.
NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE...Security Agreement • May 9th, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
THIS WARRANT IS BEING ISSUED AS A FEE PAYABLE TO THE HOLDER PURSUANT TO THAT CERTAIN AMENDED AND RESTATED WARRANT PURCHASE AGREEMENT DATED APRIL 12, 2024.
4,615,385 Shares ASCENT SOLAR TECHNOLOGIES, INC. Common Stock UNDERWRITING AGREEMENTUnderwriting Agreement • October 1st, 2009 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), proposes to sell 4,615,385 shares (the “Firm Stock”) of the Company’s common stock, par value $0.0001 per share (the “Common Stock”). In addition, the Company proposes to grant to the underwriters (the “Underwriters”) named in Schedule 1 attached to this agreement (this “Agreement”) an option to purchase up to 692,308 additional shares of the Common Stock on the terms set forth in Section 3 (the “Option Stock”). The Firm Stock and the Option Stock, if purchased, are hereinafter collectively called the “Stock.”
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • August 5th, 2021 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Colorado
This Securities Purchase Agreement (this “Agreement”) is dated as of August 2, 2021, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • June 9th, 2016 • Ascent Solar Technologies, Inc. • Semiconductors & related devices
This Agreement is made pursuant to the Securities Purchase Agreement, dated as of the date hereof, between the Company and each Purchaser (the “Purchase Agreement”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • March 22nd, 2019 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Utah
THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of March 13, 2019, is entered into by and between ASCENT SOLAR TECHNOLOGIES, INC., a Delaware corporation (“Company”), and ST. GEORGE INVESTMENTS LLC, a Utah limited liability company, its successors and/or assigns (“Investor”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • September 10th, 2018 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of August 29, 2018, is entered into by and between ASCENT SOLAR TECHNOLOGIES, INC., a Delaware corporation (the “Company”), and EMA Financial, LLC, a Delaware limited liability company (the “Purchaser”).
INDENTURE TRUSTEEIndenture • October 21st, 2022 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • April 2nd, 2014 • Ascent Solar Technologies, Inc. • Semiconductors & related devices
This Registration Rights Agreement (“Agreement”) is made and entered into as of April 1, 1014, between Ascent Solar Technologies, Inc., a Delaware corporation (“Company”), and Ironridge Global IV, Ltd., a British Virgin Islands business company (“Purchaser”). This Agreement is made pursuant to the Stock Purchase Agreement, of even date herewith, between Company and Purchaser (“Stock Purchase Agreement”). Company and Purchaser hereby agree as follows:
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • August 15th, 2016 • Ascent Solar Technologies, Inc. • Semiconductors & related devices
This Agreement is made pursuant to (a) the Securities Purchase Agreement, dated as of the date hereof, between the Company and each Purchaser (the “Purchase Agreement”) and (b) the Exchange Agreement, dated as of the date hereof, between the Company and each Holder (the “Exchange Agreement”).
COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC.Common Stock Agreement • August 19th, 2022 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Colorado
This Warrant is being issued pursuant to that certain Securities Purchase Agreement dated as of August 8, 2022 between the Holder and the Company (the “Securities Purchase Agreement”). In addition to the terms defined elsewhere in this Warrant, capitalized terms that are not otherwise defined herein have the meanings given to such terms in the Securities Purchase Agreement.
ASCENT SOLAR TECHNOLOGIES, INC. Common Stock ($0.0001 par value per share) AT- THE-MARKET EQUITY OFFERING SALES AGREEMENTAt-the-Market Equity Offering Sales Agreement • February 28th, 2011 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time to or through Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”), as sales agent and/or principal (“Agent”), shares (the “Shares”) of the Company’s common stock, $0.0001 par value per share (the “Common Stock”), having an aggregate offering price of up to $25,000,000 on the terms set forth in Section 2 of this Sales Agreement (the “Agreement”). The Company agrees that whenever it determines to sell Shares directly to the Agent as principal, it will enter into a separate agreement (each, a “Terms Agreement”) in substantially the form of Annex I hereto, relating to such sale in accordance with Section 3 of this Agreement.
SECURITY AND PLEDGE AGREEMENTSecurity and Pledge Agreement • November 17th, 2014 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
SECURITY AND PLEDGE AGREEMENT, dated as of November , 2014 (this “Agreement”), made by Ascent Solar Technologies, Inc., a Delaware corporation, with offices located at 12300 Grant Street, Thornton, CO 80214 (the “Company”), and each of the undersigned direct and indirect Domestic Subsidiaries of the Company from time to time, if any (each a “Grantor” and together with the Company, collectively, the “Grantors”), in favor of Hudson Bay Master Fund Ltd, in its capacity as collateral agent (in such capacity, the “Collateral Agent” as hereinafter further defined) for the Noteholders (as defined below) party to the Securities Purchase Agreement, dated as of November 14, 2014 (as amended, modified, supplemented, renewed, restated or replaced from time to time, the “Securities Purchase Agreement”).
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • May 9th, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This letter (this “Agreement”) constitutes the agreement between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”) and Dawson James Securities, Inc. (“Dawson”) pursuant to which Dawson shall serve as the placement agent (the “Placement Agent”) (the “Services”), for the Company, on a reasonable “best efforts” basis, in connection with the proposed offer and placement (the “Offering”) by the Company of its Securities (as defined Section 3 of this Agreement). The Company expressly acknowledges and agrees that Dawson’s obligations hereunder are on a reasonable “best efforts” basis only and that the execution of this Agreement does not constitute a commitment by Dawson to purchase the Securities and does not ensure the successful placement of the Securities or any portion thereof or the success of Dawson placing the Securities.
WARRANT AGREEMENT between Ascent Solar Technologies, Inc. and Computershare Trust Company, Inc. Dated as of , 2006Warrant Agreement • April 20th, 2006 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Delaware
This Agreement, dated as of , 2006, is between Ascent Solar Technologies, Inc., a Delaware corporation (the "Company") and Computershare Trust Company, Inc., a Colorado corporation, (the "Warrant Agent").
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • October 23rd, 2024 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Colorado
This Securities Purchase Agreement (this “Agreement”) is dated as of October 17, 2024, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • January 20th, 2016 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of January 19, 2016, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
THIS WARRANT HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 AND IS NOT TRANSFERABLE EXCEPT AS PROVIDED HEREIN Ascent Solar Technologies, Inc. PURCHASE WARRANT Issued to: PAULSON INVESTMENT COMPANY, INC. Exercisable to Purchase 300,000 Units...Purchase Warrant • July 10th, 2006 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Oregon
This is to certify that, for value received and subject to the terms and conditions set forth below, the Warrantholder (hereinafter defined) is entitled to purchase, and the Company promises and agrees to sell and issue to the Warrantholder, at any time on or after , 2006 and on or before , 2011, up to 300,000 Units (hereinafter defined) at the Exercise Price (hereinafter defined).
Ascent Solar Technologies, Inc. UNDERWRITING AGREEMENT dated [ ], 2006 Paulson Investment Company, Inc.Underwriting Agreement • January 23rd, 2006 • Ascent Solar Technologies, Inc. • New York
Introductory. Ascent Solar Technologies, Inc., a Delaware corporation (the "Company") proposes to issue and sell to the several underwriters named in Schedule A (the "Underwriters") an aggregate of [ ] Units, each Unit consisting of (i) one share of the Company's common stock ("Common Stock"), (ii) one Class A warrant to purchase one share of Common Stock (each a "Class A Warrant and, collectively, the Class A Warrants"), and (iii) two Class B warrants, each to purchase one share of Common Stock (each a "Class B Warrant, collectively, the Class B Warrants" and, together with the Class A Warrants, the "Warrants"). The Warrants are to be issued under the terms of a Warrant Agreement (the "Warrant Agreement") by and between the Company and [ ], as warrant agent (the "Warrant Agent"), substantially in the form most recently filed as an exhibit to the Registration Statement (hereinafter defined). The [ ] Units to be sold by the Company are collectively called the "Firm Units". In addition,
EXCHANGE AGREEMENTExchange Agreement • September 14th, 2016 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
THIS EXCHANGE AGREEMENT (the “Agreement”) is dated this 13th day of September, 2016 (the “Effective Date”), by and among Ascent Solar Technologies, Inc. (the “Company”), and BOU Trust (the “Holder”).
CERTAIN IDENTIFIED INFORMATION HAS BEEN OMITTED FROM THIS DOCUMENT BECAUSE IT IS BOTH NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED, AND HAS BEEN MARKED WITH “[***]” TO INDICATE WHERE OMISSIONS HAVE BEEN MADE EMPLOYMENT AGREEMENTEmployment Agreement • September 27th, 2022 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Colorado
THIS EMPLOYMENT AGREEMENT (this “Agreement”) is made, entered into and effective as of September 21, 2022 (the “Effective Date”), by and between Ascent Solar Technologies, Inc. (the “Company”) and Jeffrey Max (the “Executive”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • April 20th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • Colorado
This Securities Purchase Agreement (this “Agreement”) is dated as of April 14, 2023, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
PURCHASE AGREEMENTPurchase Agreement • November 10th, 2015 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This Purchase Agreement (this “Agreement”) is dated as of November 10, 2015, by and between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Redwood Management, LLC, a Florida limited liability company (the “Investor”).
