ASTI-Form8-K-DecemberSpecialMeeting


 UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
______________________________________________________ 
FORM 8-K
 ______________________________________________________

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): December 23, 2014 (December 22, 2014)

______________________________________________________
ASCENT SOLAR TECHNOLOGIES, INC.
(Exact name of registrant as specified in its charter)
 
______________________________________________________
 
 
 
 
 
Delaware
 
001-32919
 
20-3672603
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(I.R.S. Employer
Identification No.)
 
 
12300 Grant Street
Thornton, Colorado
 
80241
(Address of principal executive offices)
 
(Zip Code)
Registrant’s telephone number, including area code:    (720) 872-5000
Not Applicable
Former name or former address, if changed since last report
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))






Item 3.03 Material Modification to Rights of Security Holders.

To the extent required by Item 3.03 of Form 8-K, the information contained in Item 5.03 of this Current Report on Form 8-K is incorporated herein by reference.

Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

On December 22, 2014, the Company filed a Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Company (the “Certificate of Amendment”) with the Secretary of State of the State of Delaware to increase the number of authorized shares of Common Stock from 150,000,000 to 450,000,000. The Certificate of Amendment was approved at the Company’s Special Meeting of Stockholders held on December 22, 2014.

A copy of the Certificate of Amendment is filed as Exhibit 3.1 hereto and is incorporated herein by reference.


Item 5.07
Submission of Matters to a Vote of Security Holders.

The Company held a Special Meeting of Stockholders on December 22, 2014. The matters voted upon at the Special Meeting and the results of such voting are set forth below.

Proposal 1 - Approval of the issuance of certain shares of common stock pursuant to the Securities Purchase Agreement dated November 14, 2014.

Votes For
Votes Against
Abstain
Broker Non-Votes
6,436,748
243,405
28,249
4,576,712

Proposal 1 was approved.


Proposal 2 - To approve an amendment to the Company's certificate of incorporation to increase the number of authorized shares of common stock.

Votes For
Votes Against
Abstain
Broker Non-Votes
9,993,079
1,234,148
57,887
0

Proposal 2 was approved.








Item 9.01     Financial Statements and Exhibits.

(d)     The following exhibits are filed with this report:
 
 
 
Exhibit
Number
 
Description
3.1
 
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Company, dated December 22, 2014.
 
 
 
 

 






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 23, 2014
 
 
 
By:
 
/s/ William M. Gregorak
 
 
 
 
 
 
 
 
Name: William M. Gregorak
 
 
 
 
 
 
 
 
Title: Chief Financial Officer






EXHIBIT INDEX



 
 
 
Exhibit
Number
 
Description
3.1
 
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Company, dated December 22, 2014.