---
schema_version: "secwatch.filing_event.v1"
accession: "0001079973-23-001278"
form_type: "8-K"
ticker: "ASTI"
cik: "0001350102"
company_name: "Ascent Solar Technologies, Inc."
filed_at: "2023-09-15T23:59:59+00:00"
generated_at: "2026-06-10T16:06:08.556126+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.85
calibrated_materiality_score: 0.85
confidence: "high"
source: SEC EDGAR
---

# Ascent Solar gets Nasdaq public float deficiency; reverse split done, delisting appeal pending

## Summary
- 1-for-200 reverse split effective Sept 11, 2023; shares reduced from ~92M pre-split to 500,000 post-split.
- Nasdaq notified company on Sept 13, 2023 it fails Rule 5550(a)(4); public float only ~350,000 shares.
- Company previously received delisting notice on July 28, 2023; hearing before Nasdaq Panel expected mid-October.
- Company plans a registered public offering to meet public float and stockholders' equity ($2.5M) requirements.
- Trading on Nasdaq continues during appeal; no assurance of favorable outcome from Panel.

## SEC filing metadata
- accession: 0001079973-23-001278
- form_type: 8-K
- ticker: ASTI
- cik: 0001350102
- company_name: Ascent Solar Technologies, Inc.
- filed_at: 2023-09-15T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.85
- calibrated_materiality_score: 0.85
- confidence: high
- sec_items: 3.01, 5.03, 3.03, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1350102/000107997323001278/0001079973-23-001278-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1350102/000107997323001278/asti_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001079973-23-001278
- JSON: https://secwatch.observer/filing/0001079973-23-001278.json
- Plain text: https://secwatch.observer/filing/0001079973-23-001278.txt

## Key facts
- Governance Changes
  Ascent Solar Technologies, Inc.: Certificate of Amendment to effect a one-for-200 reverse stock split (effective 2023-09-11).
  - Change: charter amendment
  - Effective: 2023-09-11
  source text: On September 8, 2023, 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 effect the Reverse Stock Split of the Company’s common stock at a ratio of one-for-two hundred.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1350102/000107997323001278/0001079973-23-001278-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.