5E Advanced Materials, Inc. — Director's Dealing 2024

Jun 13, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: 5E Advanced Materials, Inc. (FEAM)
CIK: 0001888654
Period of Report: 2024-06-11

Reporting Person: Ascend Global Investment Fund SPC - Strategic Segregated Portfolio (10% Owner)
Reporting Person: Meridian Investments Corp (10% Owner)
Reporting Person: Ascend Capital Advisors (S) Pte. Ltd. (10% Owner)
Reporting Person: Ascend Financial Holdings Ltd (10% Owner)
Reporting Person: Susanto Halim (10% Owner)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-06-11	Convertible Notes	$	A		Acquired	2028-08-15	Common Stock (2945302)	Indirect

Footnotes

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 18,038,056 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 18,038,056 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.

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.