Replies to post #10706 on Ascent Solar Technologies Inc (ASTI)

[OptimusPrime]

No, I will go look

[OptimusPrime]

This?

Statement of Changes in Beneficial Ownership (4)

Source: Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0287
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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 *
BIAO XU 2. Issuer Name and Ticker or Trading Symbol
Ascent Solar Technologies, Inc. [ ASTI ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__ X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
12300 GRANT STREET 3. Date of Earliest Transaction (MM/DD/YYYY)
3/10/2016
(Street)
THORNTON, CO 80241
(City) (State) (Zip)
4. 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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8) 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
No securities are beneficially owned. 0 (1) D

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) 8. Price of Derivative Security
(Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Common Stock Option (Right toi Buy) $0.06 3/10/2016 A 100000 3/10/2016 (2) 3/10/2016 Common Stock 100000 $0.00 200000 D
Explanation of Responses:
( 1) Does not include shares held by TFG Radiant Investment Group Ltd. ("TFG Radiant"), which is the Issuer's largest stockholder. Mr. Xu is an investor in TFG Radiant and disclaims beneficial ownership of shares held by TFG Radiant (except to the extent of his pecuniary interest therein).
( 2) The stock options vest in equal monthly installments beginning on April 10, 2016, such that the stock options are fully vested as of March 10, 2019.

Remarks:
Xu Biao (aka Winston Xu) is a Board designee of TFG Radiant pursuant to the Amended and Restated Stockholders' Agreement between the Issuer and TFG Radiant, dated December 30, 2011.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
BIAO XU
12300 GRANT STREET
THORNTON, CO 80241 X



Signatures
/s/ James H. Carroll, Attorney-in-Fact 3/14/2016
** 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 4(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.

[CoinOp]

Filing out yes he is related to TFG Radiant Group , nice I was just waiting for some news related to TFG Radiant almost thought it was them increasing when I started reading seeing them mentioned . Looks like some stock options he owns personally .

They state they are the Largest shareholder in ASTI still in that release which is interesting, because I see Seng Wei Seow overtook the lead with there last increase on 2/3 , unless TFG Radiant increased there holdings since after 2/3/16 till today and that filing didn't hit yet?

TFG would have to buy 6mil more to take the lead if so

here's the line -
shares held by TFG Radiant Investment Group Ltd. ("TFG Radiant"),which is the Issuer's largest stockholder


Explanation of Responses:
( 1) Does not include shares held by TFG Radiant Investment Group Ltd. ("TFG Radiant"), which is the Issuer's largest stockholder. Mr. Xu is an investor in TFG Radiant and disclaims beneficial ownership of shares held by TFG Radiant (except to the extent of his pecuniary interest therein).
( 2) The stock options vest in equal monthly installments beginning on April 10, 2016, such that the stock options are fully vested as of March 10, 2019.

Remarks:
Xu Biao (aka Winston Xu) is a Board designee of TFG Radiant pursuant to the Amended and Restated Stockholders' Agreement between the Issuer and TFG Radiant, dated December 30, 2011.

http://ih.advfn.com/p.php?pid=nmona&article=70759859&symbol=ASTI

[carusso]

RE: ASTI:Form4, 3/14/2016

Would someone more experienced than myself please tell me if this means this person gets to buy shares at 6 cents once a month for 3 years?

Please tell me what it is I am not interpreting correctly from this Form4.