Initial Statement of Beneficial Ownership (3)
November 17 2022 - 4:40PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
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Hall Anthony David |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/9/2022
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3. Issuer Name and Ticker or Trading Symbol
5E Advanced Materials, Inc. [FEAM]
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(Last)
(First)
(Middle)
C/O 5E ADVANCED MATERIALS, INC., 19500 STATE HIGHWAY 249, SUITE 125 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Principal Executive Officer / |
(Street)
HOUSTON, TX 77070
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 922833 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Purchase) | 7/30/2020 | 7/30/2024 | Common Stock | 250000 | $3.65 | D | |
Stock Option (Right to Purchase) | 7/6/2020 | 7/6/2024 | Common Stock | 240000 | $6.58 | D | |
Explanation of Responses: |
(1) | Includes 622,833 shares of common stock represented by 6,228,332 Chess Depositary Interests ("CDIs"), which are held by the reporting person. CDIs are units of beneficial ownership in shares of common stock of issuer that are publicly traded on the Australian Securities Exchange ("ASX") and held by a subsidiary of the company that operates the ASX. Each CDI represents 1/10th of a share of common stock and has the rights and privileges of the issuers common stock as described in the issuer's filings with the SEC. |
Remarks: See Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hall Anthony David C/O 5E ADVANCED MATERIALS, INC. 19500 STATE HIGHWAY 249, SUITE 125 HOUSTON, TX 77070 |
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| Principal Executive Officer |
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Signatures
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/s/ Chantel Jordan as Attorney-in-Fact | | 11/17/2022 |
**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 5(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). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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