4//SEC Filing
Susanto Halim 4
Accession 0001493152-25-010593
CIK 0001888654other
Filed
Mar 16, 8:00 PM ET
Accepted
Mar 17, 4:30 PM ET
Size
16.2 KB
Accession
0001493152-25-010593
Insider Transaction Report
Form 4
Susanto Halim
10% Owner
Transactions
- Award
Common Stock
2025-03-13$3.55/sh+704,086$2,499,998→ 7,730,646 total(indirect: See Footnote) - Award
Warrants
2025-03-13+2,816,346→ 2,816,346 total(indirect: See Footnote)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Ascend Global Investment Fund SPC - Strategic Segregated Portfolio
Director10% Owner
Transactions
- Award
Warrants
2025-03-13+2,816,346→ 2,816,346 total(indirect: See Footnote)Exercise: $3.55→ Common Stock (2,816,346 underlying) - Award
Common Stock
2025-03-13$3.55/sh+704,086$2,499,998→ 7,730,646 total(indirect: See Footnote)
Ascend Financial Holdings Ltd
10% Owner
Transactions
- Award
Warrants
2025-03-13+2,816,346→ 2,816,346 total(indirect: See Footnote)Exercise: $3.55→ Common Stock (2,816,346 underlying) - Award
Common Stock
2025-03-13$3.55/sh+704,086$2,499,998→ 7,730,646 total(indirect: See Footnote)
Meridian Investments Corp
10% Owner
Transactions
- Award
Warrants
2025-03-13+2,816,346→ 2,816,346 total(indirect: See Footnote)Exercise: $3.55→ Common Stock (2,816,346 underlying) - Award
Common Stock
2025-03-13$3.55/sh+704,086$2,499,998→ 7,730,646 total(indirect: See Footnote)
Transactions
- Award
Common Stock
2025-03-13$3.55/sh+704,086$2,499,998→ 7,730,646 total(indirect: See Footnote) - Award
Warrants
2025-03-13+2,816,346→ 2,816,346 total(indirect: See Footnote)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Footnotes (3)
- [F1]On March 13, 2025, Ascend Global Investment Fund SPC ("Ascend Global") and Meridian Investments Corporation ("Meridian") each acquired 352,043 shares of Common Stock and warrants to purchase up to 1,408,173 shares of Common Stock pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian.
- [F2]Ascend Global is the record holder of 3,981,972 shares of Common Stock and Meridian is the record holder of 3,748,674 shares of Common Stock. Ascend Global is the sole shareholder of Meridian, and 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.
- [F3]The warrants are immediately exercisable and expire on March 13, 2026. The exercise price per share of Common Stock under the warrants is $3.5507.
Documents
Issuer
5E Advanced Materials, Inc.
CIK 0001888654
Entity typeother
Related Parties
1- filerCIK 0002001327
Filing Metadata
- Form type
- 4
- Filed
- Mar 16, 8:00 PM ET
- Accepted
- Mar 17, 4:30 PM ET
- Size
- 16.2 KB