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