Transaction #16842 · Form 4 · 0001493152-25-026650
5E Advanced Materials, Inc. · Exercise / conversion · Common Stock
5E Advanced Materials, Inc. · Transacted December 4, 2025 · Filed December 8, 2025
What does this filing report?
An SEC Form 4 filing for 5E Advanced Materials, Inc. records an exercise / conversion involving Common Stock on December 4, 2025. The reported quantity was 2,816,346. The filing date is December 8, 2025. This is one transaction record; amounts are not allocated among any joint reporting owners.
The acquisition category describes how securities were received. It does not by itself establish a cash purchase of common stock. Read the transaction code definitionsand the original filing before interpreting the amounts.
Transaction details
- Company
- 5E Advanced Materials, Inc.
- Company CIK
- 0001888654
- Security type
- Non-derivative
- Acquisition type
- Exercise / conversion · Code M
- Quantity acquired
- 2,816,346
- Reported price
- 3.5507
- Reference value
- 9,999,999.7422
- Currency
- Currency not specified
- Ownership
- Indirect
- Holdings after transaction
- 10,646,992
- Ownership description
- See Footnotes
- SEC acceptance time
- Dec 8, 2025, 4:30 PM EST
- 10b5-1 indication
- Not indicated
Reference value is reported quantity × reported price. It is not a confirmed cash payment or an estimate of a derivative's economic value. A missing currency is not assumed to be USD.
Reporting owners
- Ascend Global Investment Fund SPC - Strategic Segregated Portfolio ↗
Director · 10% owner
CIK 0002001144
- Susanto Halim ↗
10% owner
CIK 0002001327
- Ascend Capital Advisors (S) Pte. Ltd. ↗
10% owner
CIK 0002009683
- Meridian Investments Corp ↗
10% owner
CIK 0002009685
- Ascend Financial Holdings Ltd ↗
10% owner
CIK 0002009892
These are the reporting owners named in the filing. Quantities and amounts are not allocated among co-reporters. Roles reflect this filing, not a current profile.
Company listings
The linked listing is identified separately from other current company listings.
Filing footnotes & remarks
- 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.
Footnotes are reproduced as plain text from the current source filing. For the full context, read the original SEC filing.
This record was updated Eastern Time. This is the stored record update time, not the transaction date. Report a correction.