0001104659-24-007799.txt : 20240129 0001104659-24-007799.hdr.sgml : 20240129 20240129170722 ACCESSION NUMBER: 0001104659-24-007799 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240118 FILED AS OF DATE: 20240129 DATE AS OF CHANGE: 20240129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Susanto Halim CENTRAL INDEX KEY: 0002001327 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41279 FILM NUMBER: 24574550 MAIL ADDRESS: STREET 1: 1 KIM SENG PROMENADE #10-01, EAST TOWER STREET 2: GREAT WORLD CITY CITY: SINGAPORE STATE: U0 ZIP: 237994 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ascend Global Investment Fund SPC - Strategic Segregated Portfolio CENTRAL INDEX KEY: 0002001144 ORGANIZATION NAME: STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41279 FILM NUMBER: 24574554 BUSINESS ADDRESS: STREET 1: 1 KIM SENG PROMENADE #10-01, EAST TOWER STREET 2: GREAT WORLD CITY CITY: SINGAPORE STATE: U0 ZIP: 237994 BUSINESS PHONE: 65 6737 3023 MAIL ADDRESS: STREET 1: 1 KIM SENG PROMENADE #10-01, EAST TOWER STREET 2: GREAT WORLD CITY CITY: SINGAPORE STATE: U0 ZIP: 237994 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ascend Financial Holdings Ltd CENTRAL INDEX KEY: 0002009892 ORGANIZATION NAME: STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41279 FILM NUMBER: 24574551 BUSINESS ADDRESS: STREET 1: CRAIGMUIR CHAMBERS, ROAD TOWN CITY: TORTOLA STATE: D8 ZIP: VG 1110 BUSINESS PHONE: 65 6737 3023 MAIL ADDRESS: STREET 1: CRAIGMUIR CHAMBERS, ROAD TOWN CITY: TORTOLA STATE: D8 ZIP: VG 1110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ascend Capital Advisors (S) Pte. Ltd. CENTRAL INDEX KEY: 0002009683 ORGANIZATION NAME: STATE OF INCORPORATION: U0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41279 FILM NUMBER: 24574552 BUSINESS ADDRESS: STREET 1: 1 KIM SENG PROMENADE #10-01 EAST TOWER STREET 2: GREAT WORLD CITY CITY: SINGAPORE STATE: U0 ZIP: 237994 BUSINESS PHONE: 65 6737 3023 MAIL ADDRESS: STREET 1: 1 KIM SENG PROMENADE #10-01 EAST TOWER STREET 2: GREAT WORLD CITY CITY: SINGAPORE STATE: U0 ZIP: 237994 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Meridian Investments Corp CENTRAL INDEX KEY: 0002009685 ORGANIZATION NAME: STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41279 FILM NUMBER: 24574553 BUSINESS ADDRESS: STREET 1: CRICKET SQUARE, HUTCHINS DRIVE STREET 2: PO BOX 2681 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-111 BUSINESS PHONE: 65 6737 3023 MAIL ADDRESS: STREET 1: CRICKET SQUARE, HUTCHINS DRIVE STREET 2: PO BOX 2681 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 5E Advanced Materials, Inc. CENTRAL INDEX KEY: 0001888654 STANDARD INDUSTRIAL CLASSIFICATION: MINING, QUARRYING OF NONMETALLIC MINERALS (NO FUELS) [1400] ORGANIZATION NAME: 01 Energy & Transportation IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 9329 MARIPOSA ROAD STREET 2: SUITE 210 CITY: HESPERIA STATE: CA ZIP: 92344 BUSINESS PHONE: 442 292 2120 MAIL ADDRESS: STREET 1: 9329 MARIPOSA ROAD STREET 2: SUITE 210 CITY: HESPERIA STATE: CA ZIP: 92344 3 1 tm244351-2_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2024-01-18 0 0001888654 5E Advanced Materials, Inc. FEAM 0002001144 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio 1 KIM SENG PROMENADE #10-01 EAST TOWER GREAT WORLD CITY U0 237994 SINGAPORE 0 0 1 0 0002009685 Meridian Investments Corp 1 KIM SENG PROMENADE, #10-01 EAST TOWER GREAT WORLD CITY U0 237994 SINGAPORE 0 0 1 0 0002009683 Ascend Capital Advisors (S) Pte. Ltd. 1 KIM SENG PROMENADE, #10-01 EAST TOWER GREAT WORLD CITY U0 237994 SINGAPORE 0 0 1 0 0002009892 Ascend Financial Holdings Ltd 1 KIM SENG PROMENADE, #10-01 EAST TOWER GREAT WORLD CITY U0 237994 SINGAPORE 0 0 1 0 0002001327 Susanto Halim 1 KIM SENG PROMENADE, #10-01 EAST TOWER GREAT WORLD CITY U0 237994 SINGAPORE 0 0 1 0 Common Stock 5365854 I See footnotes Convertible Notes 2028-08-15 Common Stock 33130810.5 I See footnotes The shares of common stock, par value $0.01 per share (the "Common Stock") of 5E Advanced Materials, Inc., a Delaware corporation (the "Issuer") are held of record by Ascend Global Investment Fund SPC for and on behalf of Strategic SP ("Ascend Global"). Ascend Global and Meridian Investments Corporation ("Meridian") each purchased $15,890,325 aggregate principal amount of the Issuer's 4.50% senior secured convertible notes (the "Convertible Notes") from BEP Special Situations IV LLC ("BEP") pursuant to the Amended and Restated Note Purchase Agreement (the "Amended and Restated Note Purchase Agreement"), dated of January 18, 2024, by and among the Issuer, BEP, Ascend Global and Meridian. All or any portion of the Convertible Notes may be converted at Ascend's and Meridian's election at any time prior to the close of business on the business day immediately preceding the maturity date. Each of Ascend Global and Meridian is the record holder of Convertible Notes that are currently convertible into 16,565,405.25 shares of Common Stock, issuable upon conversion of the outstanding principal of and paid-in-kind interest accrued on the Convertible Notes, and assuming all interest is paid-in-kind until the maturity date. 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 2024-01-29 Meridian Investments Corporation /s/ Mulyadi Tjandra By: Mulyadi Tjandra Title: Director 2024-01-29 Ascend Capital Advisors (S) Pte. Ltd. /s/ Mulyadi Tjandra By: Mulyadi Tjandra Title: Director 2024-01-29 Ascend Financial Holdings Limited By: EFS ASIA V LTD, Director /s/ Reeja Prathiban By: Reeja Prathiban Title: Authorized Signatory 2024-01-29 /s/ Halim Susanto 2024-01-29