Form 4 - Statement of changes in beneficial ownership of securities

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Ascend Global Investment Fund SPC - Strategic Segregated Portfolio

(Last)

(First)

(Middle)

1 KIM SENG PROMENADE #10-01 EAST TOWER

(Street)

GREAT WORLD CITY

237994

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
5E Advanced Materials, Inc. [ FEAM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/16/2024

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Convertible Notes	⁽¹⁾	09/16/2024		A		$3,000,000		⁽¹⁾	08/15/2028	Common Stock	3,200,000⁽¹⁾	$3,000,000	39,276,112	I	See Footnote⁽²⁾⁽³⁾

1. Name and Address of Reporting Person^*

Ascend Global Investment Fund SPC - Strategic Segregated Portfolio

(Last)

(First)

(Middle)

1 KIM SENG PROMENADE #10-01 EAST TOWER

(Street)

GREAT WORLD CITY

237994

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Meridian Investments Corp

(Last)

(First)

(Middle)

1 KIM SENG PROMENADE, #10-01 EAST TOWER

(Street)

GREAT WORLD CITY

237994

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Ascend Capital Advisors (S) Pte. Ltd.

(Last)

(First)

(Middle)

1 KIM SENG PROMENADE, #10-01 EAST TOWER

(Street)

GREAT WORLD CITY

237994

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Ascend Financial Holdings Ltd

(Last)

(First)

(Middle)

1 KIM SENG PROMENADE, #10-01 EAST TOWER

(Street)

GREAT WORLD CITY

237994

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Susanto Halim

(Last)

(First)

(Middle)

1 KIM SENG PROMENADE, #10-01 EAST TOWER

(Street)

GREAT WORLD CITY

237994

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

Explanation of Responses:

1. 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.

2. Meridian Investments Corporation ("Meridian") is the record holder of Convertible Notes that are currently convertible into 19,638,056 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 19,638,056 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.

3. 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.

	Ascend Global Investment Fund SPC for and on behalf of Strategic SP /s/ Mulyadi Tjandra By: Mulyadi Tjandra Title: Director	09/18/2024
	Meridian Investments Corporation /s/ Mulyadi Tjandra By: Mulyadi Tjandra Title: Director	09/18/2024
	Ascend Capital Advisors (S) Pte. Ltd. /s/ Mulyadi Tjandra By: Mulyadi Tjandra Title: Director	09/18/2024
	Ascend Financial Holdings Limited By: EFS ASIA V LTD, Director /s/ Reeja Prathiban By: Reeja Prathiban Title: Authorized Signatory	09/18/2024
	/s/ Halim Susanto	09/18/2024
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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