organization · Reporting owner
Ascend Financial Holdings Ltd
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 5E Advanced Materials, Inc.FEAM · Entity 7084 | 10% owner | December 04, 2025 | December 08, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
5E Advanced Materials, Inc.
Report date December 04, 2025 · Filed December 08, 2025
Jointly reported with Ascend Global Investment Fund SPC - Strategic Segregated Portfolio, Meridian Investments Corp, Ascend Capital Advisors (S) Pte. Ltd., Susanto Halim
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 8,364,294 |
Last balance in matching sequence
After 2025-12-04 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2025-12-04 · Exercise / conversion · Acquired 2,816,346 · Balance 10,646,992 F1: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock. F2: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. Row 2 · 2025-12-04 · Tax withholding · Disposed 2,282,698 · Balance 8,364,294 F1: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock. F2: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $3.55 | IndirectSee Footnotes | 0 |
Reported balance
After 2025-12-04 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-12-04 · Exercise / conversion · Disposed 2,816,346 · Balance 0 F4: The warrants were acquired pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian. F3: The warrants are currently exercisable and will expire on March 13, 2026. F1: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock. F2: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock.
F2: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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.
F3: The warrants are currently exercisable and will expire on March 13, 2026.
F4: The warrants were acquired pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 04, 2025 Filed Dec 8, 2025 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | Exercise / conversionWarrants · Derivative | 2,816,346 | Not disclosed Strike: $3.55 | Not disclosed |
DisclosureSEC source: 0001493152-25-026650 · ownership.xml · derivative · entry 3 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,816,346 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: The warrants were acquired pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian. F3 · derivative.exercise_date: The warrants are currently exercisable and will expire on March 13, 2026. F3 · derivative.expiration_date: The warrants are currently exercisable and will expire on March 13, 2026. F1 · ownership.nature: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock. F2 · ownership.nature: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | Tax withholdingCommon Stock | 2,282,698 | $3.94 | $8,999,993.40 |
DisclosureSEC source: 0001493152-25-026650 · ownership.xml · nonDerivative · entry 2 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 8,364,294 F1 · ownership.nature: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock. F2 · ownership.nature: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. Read SEC document |
| December 04, 2025 Filed Dec 8, 2025 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | Exercise / conversionCommon Stock | 2,816,346 | $3.55 | $9,999,999.74 |
DisclosureSEC source: 0001493152-25-026650 · ownership.xml · nonDerivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 10,646,992 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: Following the transactions reported herein, Ascend Global Investment Fund SPC ("Ascend Global") is the record holder of 4,298,796 shares of Common Stock and Meridian Investments Corporation ("Meridian") is the record holder of 4,065,498 shares of Common Stock. F2 · ownership.nature: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. Read SEC document |
| August 25, 2025 Filed Aug 27, 2025 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | PurchaseCommon Stock | 100,000 | $3.50 | $350,000.00 |
DisclosureSEC source: 0001641172-25-025705 · ownership.xml · nonDerivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnotes Disclosed balance after: 7,830,646 F1 · ownership.nature: Ascend Global Investment Fund SPC ("Ascend Global") and Meridian Investments Corporation ("Meridian") each purchased 50,000 shares of Common Stock. Ascend Global is the record holder of 4,031,972 shares of Common Stock and Meridian is the record holder of 3,798,674 shares of Common Stock F2 · ownership.nature: Ascend Global is the sole shareholder of Meridian, and may be deemed to share beneficial ownership of the securities held of record by Meridian. Ascend Financial Holdings Limited ("Ascend Financial") 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. Read SEC document |
| March 13, 2025 Filed Mar 17, 2025 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | GrantWarrants · Derivative | 2,816,346 | Not disclosed Strike: $3.55 | Not disclosed |
DisclosureSEC source: 0001493152-25-010593 · ownership.xml · derivative · entry 2 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 2,816,346 Underlying: Common Stock · 2,816,346 shares Expires not disclosed F1 · price: On March 13, 2025, Ascend Global Investment Fund SPC ("Ascend Global") and Meridian Investments Corporation ("Meridian") each acquired 352,043 shares of Common Stock and warrants to purchase up to 1,408,173 shares of Common Stock pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian. F3 · derivative.exercise_date: The warrants are immediately exercisable and expire on March 13, 2026. The exercise price per share of Common Stock under the warrants is $3.5507. F3 · derivative.expiration_date: The warrants are immediately exercisable and expire on March 13, 2026. The exercise price per share of Common Stock under the warrants is $3.5507. F2 · ownership.nature: Ascend Global is the record holder of 3,981,972 shares of Common Stock and Meridian is the record holder of 3,748,674 shares of Common Stock. Ascend Global is the sole shareholder of Meridian, and 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. Read SEC document |
| March 13, 2025 Filed Mar 17, 2025 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | GrantCommon Stock | 704,086 | $3.55 | $2,499,998.16 |
DisclosureSEC source: 0001493152-25-010593 · ownership.xml · nonDerivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 7,730,646 F1 · price: On March 13, 2025, Ascend Global Investment Fund SPC ("Ascend Global") and Meridian Investments Corporation ("Meridian") each acquired 352,043 shares of Common Stock and warrants to purchase up to 1,408,173 shares of Common Stock pursuant to a Subscription Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global and Meridian. F2 · ownership.nature: Ascend Global is the record holder of 3,981,972 shares of Common Stock and Meridian is the record holder of 3,748,674 shares of Common Stock. Ascend Global is the sole shareholder of Meridian, and 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. Read SEC document |
| March 05, 2025 Filed Mar 7, 2025 16:15 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | Exercise / conversionConvertible Notes · Derivative | Not disclosed | Not disclosed | $45,306,230.00 |
DisclosureSEC source: 0001493152-25-009563 · ownership.xml · derivative · entry 2 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 6,793,262 shares Expires 2028-08-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On March 5, 2025, the Convertible Notes were exchanged for shares of Common Stock pursuant to an Exchange Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global Investment Fund SPC ("Ascend Global"), and Meridian Investments Corporation ("Meridian"). F1 · price: On March 5, 2025, the Convertible Notes were exchanged for shares of Common Stock pursuant to an Exchange Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global Investment Fund SPC ("Ascend Global"), and Meridian Investments Corporation ("Meridian"). F1 · derivative.exercise_date: On March 5, 2025, the Convertible Notes were exchanged for shares of Common Stock pursuant to an Exchange Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global Investment Fund SPC ("Ascend Global"), and Meridian Investments Corporation ("Meridian"). F3 · ownership.nature: Ascend Global is the record holder of 3,629,929 shares of Common Stock and Meridian is the record holder of 3,396,631 shares of Common Stock. Ascend Global is the sole shareholder of Meridian, and 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. Read SEC document |
| March 05, 2025 Filed Mar 7, 2025 16:15 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | Exercise / conversionCommon Stock | 6,793,262 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-25-009563 · ownership.xml · nonDerivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 7,026,560 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On March 5, 2025, the Convertible Notes were exchanged for shares of Common Stock pursuant to an Exchange Agreement dated January 14, 2025 among the Issuer, BEP Special Situations IV LLC, Ascend Global Investment Fund SPC ("Ascend Global"), and Meridian Investments Corporation ("Meridian"). F2 · balance_after: All information in this Form 4 reflects the impact of the Issuer's 1-for-23 reverse stock split effected on February 14, 2025. F3 · ownership.nature: Ascend Global is the record holder of 3,629,929 shares of Common Stock and Meridian is the record holder of 3,396,631 shares of Common Stock. Ascend Global is the sole shareholder of Meridian, and 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. Read SEC document |
| January 14, 2025 Filed Jan 16, 2025 21:26 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | GrantConvertible Notes · Derivative | Not disclosed | $2,500,000.00 | $2,500,000.00 |
DisclosureSEC source: 0001493152-25-002618 · ownership.xml · derivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 53,109,194 Underlying: Common Stock · 12,161,865 shares Expires 2028-08-15 F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.underlying_shares: 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 · ownership.nature: Meridian Investments Corporation ("Meridian") is the record holder of Convertible Notes that are currently convertible into 26,554,597 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 26,554,597 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 · ownership.nature: 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. Read SEC document |
| September 16, 2024 Filed Sep 18, 2024 19:58 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | GrantConvertible Notes · Derivative | Not disclosed | $3,000,000.00 | $3,000,000.00 |
DisclosureSEC source: 0001493152-24-037036 · ownership.xml · derivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · Director · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See Footnote Disclosed balance after: 39,276,112 Underlying: Common Stock · 3,200,000 shares Expires 2028-08-15 F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.underlying_shares: 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 · ownership.nature: Meridian Investments Corporation ("Meridian") is the record holder of Convertible Notes that are currently convertible into 19,638,056 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 19,638,056 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 · ownership.nature: 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. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 16:30 UTC | 5E Advanced Materials, Inc. FEAM · Entity 7084 | GrantConvertible Notes · Derivative | Not disclosed | $3,000,000.00 | $3,000,000.00 |
DisclosureSEC source: 0001493152-24-023701 · ownership.xml · derivative · entry 1 Ascend Global Investment Fund SPC - Strategic Segregated Portfolio · CIK 0002001144 · 10% owner Meridian Investments Corp · CIK 0002009685 · 10% owner Ascend Capital Advisors (S) Pte. Ltd. · CIK 0002009683 · 10% owner Ascend Financial Holdings Ltd · CIK 0002009892 · 10% owner Susanto Halim · CIK 0002001327 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 36,076,112 Underlying: Common Stock · 2,945,302 shares Expires 2028-08-15 F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.underlying_shares: 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 · ownership.nature: 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 · ownership.nature: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.