# EDGAR Filing Document

**Accession Number:** 0001350102
**File Stem:** 0001209191-23-020714
**Filing Date:** 2023-3
**Character Count:** 5225
**Document Hash:** 170f59df18a8b54e2c5115cd9f005f36
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-020714.hdr.sgml**: 20230323

**ACCESSION NUMBER**: 0001209191-23-020714

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230314

**FILED AS OF DATE**: 20230323

**DATE AS OF CHANGE**: 20230323

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lucro Investments VCC - ESG Opportunities Fund
- **CENTRAL INDEX KEY:** 0001943318
- **STATE OF INCORPORATION:** U0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-32919
- **FILM NUMBER:** 23755787

**BUSINESS ADDRESS:**
- **STREET 1:** 10 ANSON ROAD
- **STREET 2:** #16-06 INTERNATIONAL PLAZA
- **CITY:** SINGAPORE
- **STATE:** U0
- **ZIP:** 079903
- **BUSINESS PHONE:** 65-6962-1502

**MAIL ADDRESS:**
- **STREET 1:** 10 ANSON ROAD
- **STREET 2:** #16-06 INTERNATIONAL PLAZA
- **CITY:** SINGAPORE
- **STATE:** U0
- **ZIP:** 079903
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ascent Solar Technologies, Inc.
- **CENTRAL INDEX KEY:** 0001350102
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **IRS NUMBER:** 203672603
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 12300 GRANT STREET
- **CITY:** THORNTON
- **STATE:** CO
- **ZIP:** 80241
- **BUSINESS PHONE:** (720) 872-5000

**MAIL ADDRESS:**
- **STREET 1:** 12300 GRANT STREET
- **CITY:** THORNTON
- **STATE:** CO
- **ZIP:** 80241

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Lucro Investments VCC - ESG Opportunities Fund<br><sub>(Last) (First) (Middle)</sub><br>12300 GRANT STREET<br><sub>(Street)</sub><br>THORNTON, CO 80241<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Ascent Solar Technologies, Inc. [ ASTI ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-14 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 3679255 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Warrants | <sup>(1)</sup> | <sup>(1)</sup> | Common Stock | 1415095 | $6.00 | D |  |

---

### Footnotes:

(1) Consists of 1,415,095 warrants ("Warrants") to acquire shares of Common Stock ("Common Stock") of Ascent Solar Technologies, Inc. on a one-for-one basis held by Lucro Investments VCC - ESG Opportunities Fund ("Lucro"). The Warrants were immediately exercisable upon their acquisition on August 19, 2022 and expire on August 19, 2027; provided however, that Lucro may not exercise the Warrants to the extent that, after giving effect to such exercise, Lucro would beneficially own in excess of 9.99% of the shares of Common Stock outstanding, or, at Lucro's election on not less than 61 days' notice, 19.99% of the shares of Common Stock outstanding.

**Signature:** /s/ Chee Wee YAP, Investment Committee Member/s/ Su Peng GOH, Investment Committee Member/s/ Madison LIN, Investment Committee Member  
**Date:** 2023-03-23

### Remarks:

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 Number.**