SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • September 25th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of September [__], 2023, between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).
COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC.Ascent Solar Technologies, Inc. • September 25th, 2023 • Semiconductors & related devices • New York
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, [_____] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on September [__], 2028 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
COMMON STOCK PURCHASE WARRANT ASCENT SOLAR TECHNOLOGIES, INC.Common Stock Purchase • September 25th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, CEDE & CO. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and on or prior to 5:00 p.m. (New York City time) on September [__], 2028 (the “Termination Date”) but not thereafter, to subscribe for and purchase from Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), up to ______ shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b). This Warrant shall initially be issued and maintained in the form of a security held in book-entry form and the Depository Trust Company or its nominee (“DTC”) shall initially be the sole registered holder of this Warrant, subject to
PLACEMENT AGENCY AGREEMENTPlacement Agency Agreement • September 25th, 2023 • 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.
WARRANT AGENCY AGREEMENTWarrant Agency Agreement • September 25th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
WARRANT AGENCY AGREEMENT, dated as of September [__], 2023 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the “Warrant Agent”).
WARRANT AGENCY AGREEMENTWarrant Agency Agreement • September 25th, 2023 • Ascent Solar Technologies, Inc. • Semiconductors & related devices • New York
WARRANT AGENCY AGREEMENT, dated as of September [__], 2023 (“Agreement”), between Ascent Solar Technologies, Inc., a Delaware corporation (the “Company”), and Computershare, Inc., a Delaware corporation (“Computershare”), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the “Warrant Agent”).
