09/15/2026 | Press release | Distributed by Public on 09/15/2026 15:35
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Share Unit | (1) | 09/15/2026 | M | 530 | (5) | (5) | Common Stock | 530 | $ 0 | 0 | D | ||||
| Restricted Share Unit | (1) | 09/15/2026 | M | 383 | (6) | (6) | Common Stock | 383 | $ 0 | 383 | D | ||||
| Restricted Share Unit | (1) | 09/15/2026 | M | 3,409 | (7) | (7) | Common Stock | 3,409 | $ 0 | 6,818 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Weibel Paul Wesley III 9329 MARIPOSA ROAD SUITE 210 HESPERIA, CA 92344 |
Chief Executive Officer | |||
| /s/ Paul Weibel | 09/15/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | Each restricted share unit ("RSU") represents a contingent right to receive one share of 5E Advanced Materials, Inc. common stock. |
| (2) | PSUs granted on September 15, 2023 pursuant to the Issuer's Amended and Restated 2022 Equity Compensation Plan (the "Plan"). Amount represents the vesting of PSUs. Pursuant to the determination of the Compensation Committee of the Board of Directors, the PSUs vested at 50% of the target number of shares based on achievement of the applicable performance criteria. The remaining unvested PSUs were forfeited. |
| (3) | Each performance share unit ("PSU") represents a contingent right to receive one share of 5E Advanced Materials, Inc. common stock upon the achievement of certain service-based and performance-based conditions. |
| (4) | Represents the number of shares of common stock withheld by the Issuer to cover the reporting person's tax withholding obligation upon the vesting of RSUs and PSUs. |
| (5) | RSUs granted on September 15, 2023 pursuant to the Issuer's Plan. One-third vested on each of the first, second and third anniversary of the grant date. |
| (6) | RSUs granted on September 15, 2024 pursuant to the Issuer's Plan. Approximately one-third vested on each of the first, second and third anniversary of the grant date. |
| (7) | RSUs granted on March 1, 2026 pursuant to the Issuer's Plan. One-third vest on each of September 15 of 2026, 2027 and 2028. |