4//SEC Filing
Susanto Halim 4
Accession 0001493152-25-026650
CIK 0001888654other
Filed
Dec 7, 7:00 PM ET
Accepted
Dec 8, 4:30 PM ET
Size
17.9 KB
Accession
0001493152-25-026650
Insider Transaction Report
Form 4
Ascend Global Investment Fund SPC - Strategic Segregated Portfolio
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2025-12-04$3.55/sh+2,816,346$10,000,000→ 10,646,992 total(indirect: See Footnotes) - Tax Payment
Common Stock
2025-12-04$3.94/sh−2,282,698$8,999,993→ 8,364,294 total(indirect: See Footnotes) - Exercise/Conversion
Warrants
2025-12-04−2,816,346→ 0 total(indirect: See Footnotes)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Meridian Investments Corp
10% Owner
Transactions
- Exercise/Conversion
Common Stock
2025-12-04$3.55/sh+2,816,346$10,000,000→ 10,646,992 total(indirect: See Footnotes) - Tax Payment
Common Stock
2025-12-04$3.94/sh−2,282,698$8,999,993→ 8,364,294 total(indirect: See Footnotes) - Exercise/Conversion
Warrants
2025-12-04−2,816,346→ 0 total(indirect: See Footnotes)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Transactions
- Exercise/Conversion
Common Stock
2025-12-04$3.55/sh+2,816,346$10,000,000→ 10,646,992 total(indirect: See Footnotes) - Tax Payment
Common Stock
2025-12-04$3.94/sh−2,282,698$8,999,993→ 8,364,294 total(indirect: See Footnotes) - Exercise/Conversion
Warrants
2025-12-04−2,816,346→ 0 total(indirect: See Footnotes)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Ascend Financial Holdings Ltd
10% Owner
Transactions
- Exercise/Conversion
Common Stock
2025-12-04$3.55/sh+2,816,346$10,000,000→ 10,646,992 total(indirect: See Footnotes) - Tax Payment
Common Stock
2025-12-04$3.94/sh−2,282,698$8,999,993→ 8,364,294 total(indirect: See Footnotes) - Exercise/Conversion
Warrants
2025-12-04−2,816,346→ 0 total(indirect: See Footnotes)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Susanto Halim
10% Owner
Transactions
- Exercise/Conversion
Common Stock
2025-12-04$3.55/sh+2,816,346$10,000,000→ 10,646,992 total(indirect: See Footnotes) - Tax Payment
Common Stock
2025-12-04$3.94/sh−2,282,698$8,999,993→ 8,364,294 total(indirect: See Footnotes) - Exercise/Conversion
Warrants
2025-12-04−2,816,346→ 0 total(indirect: See Footnotes)Exercise: $3.55→ Common Stock (2,816,346 underlying)
Footnotes (4)
- [F1]Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock.
- [F2]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 ("Ascend Financial") 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 currently exercisable and will expire on March 13, 2026.
- [F4]The warrants were acquired pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian.
Documents
Issuer
5E Advanced Materials, Inc.
CIK 0001888654
Entity typeother
Related Parties
1- filerCIK 0002001327
Filing Metadata
- Form type
- 4
- Filed
- Dec 7, 7:00 PM ET
- Accepted
- Dec 8, 4:30 PM ET
- Size
- 17.9 KB