4//SEC Filing
Susanto Halim 4
Accession 0001493152-25-002618
CIK 0001888654other
Filed
Jan 15, 7:00 PM ET
Accepted
Jan 16, 9:26 PM ET
Size
14.9 KB
Accession
0001493152-25-002618
Insider Transaction Report
Form 4
Susanto Halim
10% Owner
Transactions
- Award
Convertible Notes
2025-01-14$2500000.00/sh→ 53,109,194 total(indirect: See Footnote)Exp: 2028-08-15→ Common Stock (12,161,865 underlying)
Ascend Global Investment Fund SPC - Strategic Segregated Portfolio
Director10% Owner
Transactions
- Award
Convertible Notes
2025-01-14$2500000.00/sh→ 53,109,194 total(indirect: See Footnote)Exp: 2028-08-15→ Common Stock (12,161,865 underlying)
Transactions
- Award
Convertible Notes
2025-01-14$2500000.00/sh→ 53,109,194 total(indirect: See Footnote)Exp: 2028-08-15→ Common Stock (12,161,865 underlying)
Ascend Financial Holdings Ltd
10% Owner
Transactions
- Award
Convertible Notes
2025-01-14$2500000.00/sh→ 53,109,194 total(indirect: See Footnote)Exp: 2028-08-15→ Common Stock (12,161,865 underlying)
Meridian Investments Corp
10% Owner
Transactions
- Award
Convertible Notes
2025-01-14$2500000.00/sh→ 53,109,194 total(indirect: See Footnote)Exp: 2028-08-15→ Common Stock (12,161,865 underlying)
Footnotes (3)
- [F1]All or any portion of the Issuer's 4.50% senior secured convertible notes (the "Convertible Notes") may be converted at the holder's election at any time prior to the close of business on the business day immediately preceding the maturity date.
- [F2]Meridian Investments Corporation ("Meridian") is the record holder of Convertible Notes that are currently convertible into 26,554,597 shares of Common Stock issuable upon conversion of the outstanding principal of, and paid-in-kind interest accrued on, the Convertible Notes, assuming all interest is paid in-kind until the maturity date. In addition, Ascend Global Investment Fund SPC for and on behalf of Strategic SP ("Ascend Global") is the record holder of Convertible Notes that are currently convertible into 26,554,597 shares of Common Stock issuable upon conversion of the outstanding principal of, and paid-in-kind interest accrued on, the Convertible Notes, assuming all interest is paid in-kind until the maturity date.
- [F3]Ascend Global is the sole shareholder of Meridian, and as a result may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited is the sole shareholder of Ascend Capital Advisors (S) Pte. Ltd., which is the sole partner of Ascend Global. As a result, each of the foregoing entities may be deemed to share beneficial ownership of the securities beneficially owned by Ascend Global. By virtue of his control of Ascend Financial, Mr. Susanto may also be deemed to share beneficial ownership of the securities beneficially owned by Ascend Global under Section 13(d) of the Securities Exchange Act of 1934 (as amended) and the rules promulgated by the U.S. Securities and Exchange Commission thereunder. Mr. Susanto disclaims beneficial ownership of the securities beneficially owned by Ascend Global.
Documents
Issuer
5E Advanced Materials, Inc.
CIK 0001888654
Entity typeother
Related Parties
1- filerCIK 0002001327
Filing Metadata
- Form type
- 4
- Filed
- Jan 15, 7:00 PM ET
- Accepted
- Jan 16, 9:26 PM ET
- Size
- 14.9 KB