SEC Document


 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): May 19, 2016

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

The Company held its Annual Meeting of Stockholders (“Annual Meeting”) on May 19, 2016. The matters voted upon at the Annual Meeting and the results of such voting are set forth below.
Proposal 1 - Election of two Class 2 directors to serve until the 2019 annual meeting of stockholders and their successors have been elected and qualified.
 
Nominee
Votes For
Against
Withheld
Broker
Non-Votes
Kim J. Huntley
 
25,012,118
 
 
8,558,181
 
122,157,556
G. Thomas Marsh
 
25,545,780
 
 
8,024,519
 
122,157,556

The director nominees were duly elected.

Proposal 2 - Ratification of appointment of Independent Registered Public Accounting Firm.

Votes For
Votes Against
Abstain
Broker Non-Votes
128,989,829
22,405,531
4,332,495
0

Proposal 2 was approved.
Proposal 3 - Non-binding advisory approval of the compensation of our executive officers.

Votes For
Votes Against
Abstain
Broker Non-Votes
20,680,764
12,056,827
832,708
122,157,556

Proposal 3 was approved.
 
Proposal 4 - Amendment and Restatement of 2008 Restricted Stock Plan

Votes For
Votes Against
Abstain
Broker Non-Votes
20,492,886
12,196,622
880,791
122,157,556

Proposal 4 was approved.

Proposal 5 - Amendment and Restatement of 2005 Stock Option Plan

Votes For
Votes Against
Abstain
Broker Non-Votes
20,170,916
12,430,236
969,147
122,157,556

Proposal 5 was approved.








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.
 
 
 
 
May 19, 2016
 
 
 
By:
 
/s/ Victor Lee
 
 
 
 
 
 
 
 
Name: Victor Lee
 
 
 
 
 
 
 
 
Title: Chief Executive Officer