Ascent Solar Technologies, INC. 8-K Filing

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Key Financial Figures

• $0.0001 — h registered Common Stock, par value $0.0001 per share ASTI Nasdaq Capital Marke
• $1.70 — of Common Stock at an exercise price of $1.70 per share, and (iv) Series B warrants (
• $1.95 — per Share and accompanying Warrants was $1.95 and the purchase price per Pre-Funded W
• $1.9499 — d Warrant and accompanying Warrants was $1.9499. The Series A Warrants and Series B Wa
• $1.7 m — he Private Placement were approximately $1.7 million, after deducting placement agent
• $85,000 — cement, and (ii) reimbursement of up to $85,000 for legal fees and expenses, and out of
• $2.4375 — gent Warrants have an exercise price of $2.4375 per share (which represents 125% of the

Filing Documents

• asti_8k.htm (8-K) — 42KB
• ex4x1.htm (EX-4.1) — 108KB
• ex4x2.htm (EX-4.2) — 103KB
• ex4x3.htm (EX-4.3) — 103KB
• ex4x4.htm (EX-4.4) — 104KB
• ex10x1.htm (EX-10.1) — 255KB
• ex10x2.htm (EX-10.2) — 136KB
• ex99x1.htm (EX-99.1) — 10KB
• ex99x2.htm (EX-99.2) — 10KB
• 0001079973-25-001825.txt ( ) — 1232KB
• asti-20251205.xsd (EX-101.SCH) — 3KB
• asti-20251205_lab.xml (EX-101.LAB) — 33KB
• asti-20251205_pre.xml (EX-101.PRE) — 22KB
• asti_8k_htm.xml (XML) — 3KB

01 Entry Into a Material Definitive Agreement

Item 1.01 Entry Into a Material Definitive Agreement. On December 5, 2025, Ascent Solar Technologies, Inc. (the "Company") entered into a securities purchase agreement (the "Purchase Agreement") with certain institutional and accredited investors (the "Investors") for the issuance and sale in a private placement (the "Private Placement") of (i) 769,232 shares (the "Shares") of the Company's common stock, par value $0.0001 per share (the "Common Stock"), (ii) pre-funded warrants ("Pre-Funded Warrants") to purchase up to 256,411 shares of Common Stock, at an exercise price of $0.0001 per share, (iii) Series A warrants (the "Series A Warrants") to purchase up to 1,025,643 shares of Common Stock at an exercise price of $1.70 per share, and (iv) Series B warrants (the "Series B Warrants" and, together with the Series A Warrants, the "Warrants") to purchase up to 1,025,643 shares of Common Stock at an exercise price of $1.70 per share. The purchase price per Share and accompanying Warrants was $1.95 and the purchase price per Pre-Funded Warrant and accompanying Warrants was $1.9499. The Series A Warrants and Series B Warrants have an exercise price of $1.70 per share and are exercisable immediately upon issuance. The Series A Warrants have a term of exercise equal to five (5) years following the effective date of the Registration Statement (as defined below) and the Series B Warrants have a term of exercise equal to eighteen (18) months following the effective date of the Registration Statement (as defined below). The Pre-Funded Warrants are exercisable immediately, may be exercised at any time until all of the Pre-Funded Warrants are exercised in full, and have an exercise price of $0.0001 per share. A holder of the Pre-Funded Warrants, Series A Warrants and the Series B Warrants may not exercise any portion of such holder's Pre-Funded Warrants, Series A Warrants or Series B Warrants to the extent that the holder, together with its affiliates, would beneficially own

02 Unregistered Sales of Equity Securities

Item 3.02 Unregistered Sales of Equity Securities. The information contained in Item 1.01 of this Current Report on Form 8-K in relation to (i) the Shares, (ii) the Pre-Funded Warrants, the Series A Warrants, the Series B Warrants and the Placement Agent Warrants and (iii) the shares of Common Stock issuable upon exercise of Pre-Funded Warrants, the Series A Warrants, the Series B Warrants and the Placement Agent Warrants is incorporated herein by reference. Neither the issuance of the Shares, the Pre-Funded Warrants, the Series A Warrants, the Series B Warrants, the Placement Agent Warrants nor the shares of Common Stock issuable upon exercise thereof, as applicable, were registered under the Securities Act of 1933, as amended (the "Securities Act") or any state securities laws. The issuance of the Shares, the Pre-Funded Warrants, the Series A Warrants, Series B Warrants, and the Placement Agent Warrants were and the shares of Common Stock issuable upon the exercise thereof were issued in reliance on the exemptions from registration provided by Section 4(a)(2) under the Securities Act and Regulation D promulgated thereunder.

01 Other Events

Item 8.01 Other Events. On December 8, 2025, the Company issued a press release announcing the Private Placement. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is hereby incorporated by reference herein. On December 8, 2025, the Company issued a press release announcing the closing of the Private Placement. A copy of the press release is attached as Exhibit 99.2 to this Current Report on Form 8-K and is hereby incorporated by reference herein.

01 Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits. (d) Exhibits Exhibit Number Description 4.1 Form of Series A Warrant 4.2 Form of Series B Warrant 4.3 Form of Pre-Funded Warrant 4.4 Form of Placement Agent Warrant 10.1 Form of Securities Purchase Agreement 10.2 Form of Registration Rights Agreement 99.1 Press Release, dated December 8, 2025 99.2 Press Release, dated December 8, 2025 104 Cover Page Interactive Data File - the cover page iXBRL tags are embedded within the Inline XBRL document

SIGNATURES

SIGNATURES 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. ASCENT SOLAR TECHNOLOGIES, INC. December 8, 2025 By: /s/ Jin Jo Name: Jin Jo Title: Chief Financial Officer

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