Sen Ming Lim - 29 Jun 2022 Form 4 Insider Report for 5E Advanced Materials, Inc. (FEAM)

Reporting relationship: Director
Issuer ticker: FEAM
Reported as of: 29 Jun 2022
Net transaction value: -$3,726
SEC form: 4
Accepted by SEC: 01 Jun 2023, 17:47:06 UTC
Prior SEC filing: 11 Mar 2022
Next SEC filing: 07 Jul 2023
Source filing: View source filing
Reporting owner signature: /s/ Paul Weibel as Attorney-in-Fact

Key filing fact

Sen Ming Lim filed Form 4 for 5E Advanced Materials, Inc. (FEAM) on 01 Jun 2023.

Key facts

This page summarizes Sen Ming Lim's Form 4 filing for 5E Advanced Materials, Inc. (FEAM).
5 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 01 Jun 2023, 17:47.

Change

Previous filing in this sequence was filed on 11 Mar 2022.
Current net transaction value: -$3,726.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

FEAM transaction

Common Stock

Tax liability

Transaction value: $3,726
Shares: -1,370
Change %: -1.7%
Price: $2.72
Shares after: 77,331
Date: 27 Apr 2023
Ownership: Direct

FEAM holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 5,128,206
Date: 29 Jun 2022
Ownership: By Virtova Capital Management Limited

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

FEAM transaction Derivative

Director Share Units

Award

Transaction value: $0
Shares: +3,701
Change %
Price: $0.000000
Shares after: 3,701
Date: 29 Jun 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,701
Exercise price
Footnotes: F1, F2

FEAM transaction Derivative

Director RSUs

Award

Transaction value: $0
Shares: +1,300
Change %: +35%
Price: $0.000000
Shares after: 5,001
Date: 01 Jul 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,300
Exercise price
Footnotes: F1, F3

FEAM transaction Derivative

Director RSUs

Award

Transaction value: $0
Shares: +1,470
Change %: +29%
Price: $0.000000
Shares after: 6,471
Date: 01 Oct 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,470
Exercise price
Footnotes: F1, F4

FEAM transaction Derivative

Director RSUs

Award

Transaction value: $0
Shares: +1,587
Change %: +25%
Price: $0.000000
Shares after: 8,058
Date: 01 Jan 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,587
Exercise price
Footnotes: F1, F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 5 footnotes

Footnote F1

As further described in 5E Advanced Materials, Inc.'s (the "Issuer" and the "Company") proxy statement (the "2022 Proxy Statement") for its 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting"), all prior awards of stock options, restricted share units, performance share units, director share units, performance cash units, and other equity-based awards (the "Awards") granted under the Plan to former and directors of the Company were cancelled or forfeited. The Company's shareholders approved the re-issuance of certain Awards (or shares of the Company's common stock referable to those Awards) to the Company's current directors, as described herein.

Footnote F2

Represents director share units ("DSUs") with an effective grant date of June 29, 2022 pursuant to the the Plan, which Plan and grants were ratified and approved at the Issuer's 2022 Annual Meeting of Stockholders as required under ASX listing rules. Each DSU represents a right to receive one share of 5E Advanced Materials, Inc. common stock. Fifty percent vested on the date of the 2022 Annual Meeting with remaining vesting on the date of the Company's 2023 Annual Meeting of Stockholders (the "2023 Meeting").

Footnote F3

Represents RSUs with an effective grant date of July 1, 2022 pursuant to the Plan, which Plan and grants were ratified and approved at the Issuer's 2022 Annual Meeting of Stockholders as required under applicable ASX listing rules. Each RSU represents a right to receive one share of 5E Advanced Materials, Inc. common stock, and will vest on July 1, 2023.

Footnote F4

Represents RSUs with an effective grant date of October 1, 2022 pursuant to the Plan, which Plan and grants were ratified and approved at the Issuer's 2022 Annual Meeting of Stockholders as required under applicable ASX listing rules. Each RSU represents a right to receive one share of 5E Advanced Materials, Inc. common stock, and will vest on July 1, 2023.

Footnote F5

Represents RSUs with an effective grant date of January 1, 2023 pursuant to the Plan, which Plan and grants were ratified and approved at the Issuer's 2022 Annual Meeting of Stockholders as required under applicable ASX listing rules. Each RSU represents a right to receive one share of 5E Advanced Materials, Inc. common stock, and will vest on July 1, 2023.