Initial Statement of Beneficial Ownership (3)
November 17 2022 - 04:40PM
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
Estimated average burden
hours per response... 0.5 |
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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 * 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] |
(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)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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6. Individual or Joint/Group
Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
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 |
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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 |
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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
|
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 |
|
|
Principal Executive Officer |
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Signatures
|
/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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