Ascent Solar reports 4.99% ownership via warrants

Ascent Solar Technologies reported beneficial ownership by three related reporting persons of 496,945 shares, representing 4.99% of common stock as of March 31, 2026.

Rhea-AI Filing Summary

Ascent Solar Technologies reported beneficial ownership by three related reporting persons of 496,945 shares, representing 4.99% of common stock as of March 31, 2026.

The filing states that the 496,945 shares consist of warrants exercisable into 174, 363,636 and 133,135 shares, based on a base of 9,461,887 shares of common stock as of March 20, 2026. The disclosure notes a blocker provision that excludes 48,683 shares from immediate exercise; without that provision the reporting persons may have been deemed to beneficially own 545,628 shares.

Insights

Securities Ownership Analyst

Disclosure shows a sub-5% beneficial stake held via warrants with a blocker provision.

The filing lists combined beneficial ownership of 496,945 shares, equal to 4.99%, calculated using 9,461,887 shares outstanding as of March 20, 2026. The holdings are composed of three warrants exercisable into 174, 363,636 and 133,135 shares.

The excerpt preserves the verbatim qualifier: "blocker provision" excluding 48,683 shares from exercise to avoid exceeding 4.99%. Subsequent filings would show any change in exercised warrants or ownership percentage.

Corporate Governance Specialist

Ownership is structured through Intracoastal and two individuals with shared voting and dispositive power.

The report names Intracoastal Capital LLC, Mitchell P. Kopin and Daniel B. Asher as the Reporting Persons and attributes shared voting and dispositive power over 496,945 shares. The filing lists principal business addresses and citizenship for each person.

The document states ownership is "Ownership of 5 percent or less of a class." Cash‑flow treatment and any planned exercises or dispositions are not described in the provided excerpt.

Key Figures

Reported beneficial ownership: 496,945 shares Percent of class: 4.99% Warrant 1 exercisable: 174 shares +5 more

8 metrics

Reported beneficial ownership 496,945 shares as of <date>March 31, 2026</date>

Percent of class 4.99% calculated using <money>9,461,887</money> shares outstanding as of <date>March 20, 2026</date>

Warrant 1 exercisable 174 shares Intracoastal Warrant 1

Warrant 2 exercisable 363,636 shares Intracoastal Warrant 2

Warrant 3 exercisable 133,135 shares Intracoastal Warrant 3

Excluded by blocker provision 48,683 shares exclusion under Intracoastal Warrant 3 blocker provision

Hypothetical ownership without blocker 545,628 shares stated hypothetical without the blocker provision

Shares outstanding used 9,461,887 shares as of <date>March 20, 2026</date>

Key Terms

blocker provision, beneficial ownership, warrant

3 terms

blocker provision regulatory

"blocker provision under which the holder thereof does not have the right to exercise"

beneficial ownership financial

"may have been deemed to have beneficial ownership of 496,945 shares"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

warrant financial

"shares of Common Stock issuable upon exercise of Intracoastal Warrant 2"

A warrant is a time-limited financial contract that gives its holder the right to buy a company's shares at a set price before a specified date, like a coupon that lets you purchase stock at a fixed discount for a limited time. It matters to investors because warrants offer leveraged exposure to a stock’s upside and can dilute existing shareholders if exercised, so they affect potential gains and the company’s outstanding share count.

FAQ

What stake do the reporting persons hold in Ascent Solar (ASTI)?

They report beneficial ownership of 496,945 shares, equal to 4.99% of common stock. This percentage is calculated using 9,461,887 shares outstanding as of March 20, 2026 and includes exercisable warrants.

How are the 496,945 shares composed?

The shares consist of warrants exercisable into 174, 363,636 and 133,135 shares. The filing lists these three warrant amounts as the basis for the reported beneficial ownership.

What is the blocker provision mentioned in the filing?

The filing states a "blocker provision" in Intracoastal Warrant 3 that excludes 48,683 shares from exercise. That provision prevents exercises that would cause ownership to exceed 4.99%.

Would reported ownership change if the blocker provision did not apply?

Yes. The filing states that without the blocker provision the Reporting Persons "may have been deemed to have beneficial ownership of 545,628 shares." That figure is presented as a hypothetical calculation in the excerpt.

Who are the reporting persons named in the Schedule 13G/A for ASTI?

The filing lists Mitchell P. Kopin, Daniel B. Asher, and Intracoastal Capital LLC as the Reporting Persons, with business addresses provided for each in the excerpt.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/13/2026 - 04:38 PM Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 3)

Ascent Solar Technologies, Inc.

(Name of Issuer)

Common stock, par value $0.0001 per share

(Title of Class of Securities)

043635804

(CUSIP Number)

03/31/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 043635804

1

Names of Reporting Persons

Mitchell P. Kopin

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 496,945.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 496,945.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

496,945.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

4.99 %

12

Type of Reporting Person (See Instructions)

HC, IN

SCHEDULE 13G

CUSIP Number(s): 043635804

1

Names of Reporting Persons

Daniel B. Asher

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 496,945.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 496,945.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

496,945.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

4.99 %

12

Type of Reporting Person (See Instructions)

HC, IN

SCHEDULE 13G

CUSIP Number(s): 043635804

1

Names of Reporting Persons

Intracoastal Capital LLC

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 0.00
6	Shared Voting Power 496,945.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 496,945.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

496,945.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

4.99 %

12

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13G

Item 1.
(a)	Name of issuer: Ascent Solar Technologies, Inc.
(b)	Address of issuer's principal executive offices: 12300 Grant Street, Thornton, CO 80241
Item 2.
(a)	Name of person filing: This Schedule 13G is being filed on behalf of (i) Mitchell P. Kopin, an individual ("Mr. Kopin"), (ii) Daniel B. Asher, an individual ("Mr. Asher") and (iii) Intracoastal Capital LLC, a Delaware limited liability company ("Intracoastal" and together with Mr. Kopin and Mr. Asher, collectively the "Reporting Persons").
(b)	Address or principal business office or, if none, residence: The principal business office of Mr. Kopin and Intracoastal is 245 Palm Trail, Delray Beach, Florida 33483. The principal business office of Mr. Asher is 1011 Lake Street, Suite 311, Oak Park, Illinois 60301.
(c)	Citizenship: Mr. Kopin is a citizen of the United States of America. Mr. Asher is a citizen of the United States of America. Intracoastal is a Delaware limited liability company.
(d)	Title of class of securities: Common stock, par value $0.0001 per share
(e)	CUSIP No.: 043635804
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: As of the close of business on March 31, 2026, each of the Reporting Persons may have been deemed to have beneficial ownership of 496,945 shares of Common Stock, which consisted of (i) 174 shares of Common Stock issuable upon exercise of a warrant held by Intracoastal ("Intracoastal Warrant 1"), (ii) 363,636 shares of Common Stock issuable upon exercise of a second warrant held by Intracoastal ("Intracoastal Warrant 2") and (iii) 133,135 shares of Common Stock issuable upon exercise of a third warrant held by Intracoastal ("Intracoastal Warrant 3"), and all such shares of Common Stock represent beneficial ownership of approximately 4.99% of the Common Stock, based on (1) 9,461,887 shares of Common Stock as of March 20, 2026, as reported by the Issuer, plus (2) 174 shares of Common Stock issuable upon exercise of Intracoastal Warrant 1, (3) 363,636 shares of Common Stock issuable upon exercise of Intracoastal Warrant 2 and (4) 133,135 shares of Common Stock issuable upon exercise of Intracoastal Warrant 3. The foregoing excludes 48,683 shares of Common Stock issuable upon exercise of Intracoastal Warrant 3 because Intracoastal Warrant 3 contains a blocker provision under which the holder thereof does not have the right to exercise Intracoastal Warrant 1 to the extent (but only to the extent) that such exercise would result in beneficial ownership by the holder thereof, together with the holder's affiliates, and any other persons acting as a group together with the holder or any of the holder's affiliates, of more than 4.99% of the Common Stock. Without such blocker provision, each of the Reporting Persons may have been deemed to have beneficial ownership of 545,628 shares of Common Stock.
(b)	Percent of class: 4.99 %
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: 0
	(ii) Shared power to vote or to direct the vote: 496,945
	(iii) Sole power to dispose or to direct the disposition of: 0
	(iv) Shared power to dispose or to direct the disposition of: 496,945
Item 5.	Ownership of 5 Percent or Less of a Class.
	Ownership of 5 percent or less of a class
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	Not Applicable
Item 8.	Identification and Classification of Members of the Group.
	Not Applicable
Item 9.	Notice of Dissolution of Group.
	Not Applicable

Item 10.

Certifications:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Mitchell P. Kopin

Signature:	/s/ Mitchell P. Kopin
Name/Title:	Mitchell P. Kopin
Date:	05/13/2026

Daniel B. Asher

Signature:	/s/ Daniel B. Asher
Name/Title:	Daniel B. Asher
Date:	05/13/2026

Intracoastal Capital LLC

Signature:	/s/ Mitchell P. Kopin
Name/Title:	Mitchell P. Kopin, Manager
Date:	05/13/2026