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.
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...Common Stock Purchase • 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.
