Company: FEAV
Filing Date: 2025-01-14
Form Type: DEFA14A
Source: 0000950170-25-005374
Chunk: 5

Company: 5E Advanced Materials, Inc.
Filing Date: 2025-01-14
Form: DEFA14A
Chunk 5
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2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

The disclosure contained in Item 1.01 of this Current Report is incorporated herein by reference.

Item 3.02 Unregistered Sales of Equity Securities.

The disclosure contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. The securities were offered in a private placement exempt from registration pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”).

Item 7.01 Regulation FD Disclosure.

On January 14, 2025, the Company issued a press release announcing its entry into the Restructuring Agreement and the Transaction (the “Press Release”). A copy of the Press Release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

The information contained in this Item 7.01 and in Exhibit 99.1 attached hereto is furnished pursuant to the rules and regulations of the Securities and Exchange Commission and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such a filing.

Item 8.01 Other Events.

As previously disclosed, on November 21, 2024, the Company received written notice (the “Notice”) from Nasdaq indicating that the Company’s stockholders’ equity of $2,094,000, as reported in its Quarterly Report on Form 10-Q for the quarter ended September 30, 2024, did not satisfy Nasdaq Listing Rule 5450(b)(1), which requires companies listed on the Nasdaq Global Select Market to maintain a minimum of $10,000,000 in stockholders’ equity for continued listing (the “Stockholders’ Equity Rule”). In accordance with the Notice, the Company had 45 days from the date of the Notice to submit to Nasdaq a plan to regain compliance with the Nasdaq Listing Rule 5450(b)(1), which the Company submitted on January 6, 2025.

On January 10, 2025, Nasdaq informed the Company that the request for extension to evidence compliance with the Stockholders’