# EDGAR Filing Document

**Accession Number:** 0001888654
**File Stem:** 0001193125-26-035454
**Filing Date:** 2026-2
**Character Count:** 14596
**Document Hash:** 7d1b7119eae50b7edb51a270db386dc3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-26-035454.hdr.sgml**: 20260203

**ACCESSION NUMBER**: 0001193125-26-035454

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20260129

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Other Events

**FILED AS OF DATE**: 20260203

**DATE AS OF CHANGE**: 20260203

**FILER**: 

**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
- **EIN:** 873426517
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41279
- **FILM NUMBER:** 26592677

**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

?xml version='1.0' encoding='ASCII'? 8-K

**UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549**

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## FORM 8-K

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**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported):** January 29, 2026<br>

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5E ADVANCED MATERIALS, INC.

**(Exact name of Registrant as Specified in Its Charter)**

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| | | |
|:---|:---|:---|
| Delaware | 001-41279 | 87-3426517 |
| **(State or Other Jurisdiction<br>of Incorporation)** | **(Commission File Number)** | **(IRS Employer<br>Identification No.)** |
| 9329 Mariposa Road, Suite 210 |  |  |
| Hesperia**,** California |  | 92344 |
| **(Address of Principal Executive Offices)** |  | **(Zip Code)** |

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**Registrant's Telephone Number, Including Area Code:** (442) 221-0225<br>

**(Former Name or Former Address, if Changed Since Last Report)**

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

**Securities registered pursuant to Section 12(b) of the Act:**

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| | |
|:---|:---|
| **<br>Title of each class** | **<br>Name of each exchange on which registered** |
| Common stock, $0.01 par value per share<br> FEAM | The Nasdaq Global Select Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒

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## Item 7.01 Regulation FD Disclosure.
On February 3, 2026, 5E Advanced Materials, Inc. (the "Company") issued a press release announcing the closing of the Offering (as defined below), a copy of which is furnished as Exhibit 99.1 hereto and incorporated by reference herein.

The information contained in this Item 7.01, including Exhibit 99.1 attached hereto, is furnished pursuant to the rules and regulations of the Commission (as defined below) 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.
On February 3, 2026, the Company announced that it had completed the issuance and sale (the "Offering") of an aggregate of 18,000,000 shares (the "Shares") of its common stock, par value $0.01 per share (the "Common Stock") for a purchase price of $2.00 per Share for gross proceeds of $36.0 million. The Shares were offered pursuant to a registration statement on Form S-1 (File No. 333-292988), which was declared effective by the Securities and Exchange Commission (the "Commission") on January 29, 2026.

The Company estimates the net proceeds from the Offering will be approximately $30.3 million, after deducting placement agent fees and estimated offering expenses payable by the Company. The Company intends to use the net proceeds of the Offering for the operation of its small-scale boron facility, wellfield development and finalization of commercial mine plan, FEED engineering, and general corporate purposes.

In connection with the Offering, on January 29, 2026, the Company entered into a securities purchase agreement (the "Purchase Agreement") with certain institutional investors in the Offering, and a placement agency agreement (the "Placement Agency Agreement") with Konik Capital Partners, LLC, a division of T.R. Winston & Co. (the "Placement Agent"). Pursuant to the Placement Agency Agreement, the Company agreed to pay the Placement Agent a cash fee equal to 7.0% of gross proceeds from the sale of Shares in the Offering and to reimburse the Placement Agent for certain out-of-pocket expenses incurred in connection with the Offering. The Purchase Agreement and the Placement Agency Agreement contain customary representations, warranties and indemnification obligations.

In connection with the Offering, the Company also agreed not to issue any shares of Common Stock for a period of ninety (90) days following the closing of the Offering, other than pursuant to an equity incentive plan, upon the exercise, exchange or conversion of any currently outstanding securities, or pursuant to acquisitions or strategic transactions.

The foregoing descriptions of the Purchase Agreement and the Placement Agency Agreement do not purport to be complete and are qualified in their entirety by the full text thereof, forms of which are filed as Exhibits 10.1 and 1.1 hereto, respectively, and incorporated herein by reference.

This Current Report on Form 8-K does not constitute an offer to sell any securities or a solicitation of an offer to buy any securities, nor shall there be any sale of any securities in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction.

## Item 9.01 Financial Statements and Exhibits.
(d) Exhibits

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| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 1.1 | [<u>Form of Placement Agency Agreement (incorporated by reference to Exhibit 1.1 to the Company's Registration Statement on Form S-1 (File No. 333-292988) filed with the Securities and Exchange Commission on January 27, 2026).</u>](https://www.sec.gov/Archives/edgar/data/1888654/000119312526024538/d19305dex11.htm) |
| 10.1 | [<u>Form of Securities Purchase Agreement (incorporated by reference to Exhibit 10.21 to the Company's Registration Statement on Form S-1 (File No. 333-292988) filed with the Securities and Exchange Commission on January 27, 2026).</u>](https://www.sec.gov/Archives/edgar/data/1888654/000119312526024538/d19305dex1021.htm) |
| 99.1 | [<u>Press Release, dated February 3, 2026.</u>](feam-ex99_1.htm) |
| 104 | Cover Page Interactive Data File (embedded with the Inline XBRL document). |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | | |
|:---|:---|:---|:---|
|  |  |  | **5E Advanced Materials, Inc.** |
| Date: | February 3, 2026 | By:  | /s/ Joshua Malm |
|  |  |  | Joshua Malm<br>Chief Financial Officer, Treasurer and Corporate Secretary |

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## Exhibit 99.1

**Exhibit 99.1**

![img180512602_0.gif](img180512602_0.gif)

**5E Advanced Materials Announces Closing of $36 Million Upsized and Oversubscribed Public Offering of Common Stock**

*The offering was led by one of the Company's largest stockholders and several new institutional investors*

**HESPERIA, CA / ACCESS Newswire / February 3, 2026 /** 5E Advanced Materials, Inc. ("5E" or the "Company") (Nasdaq: FEAM) (ASX: 5EA), a development stage company focused on becoming a vertically integrated global leader and supplier of refined borates, advanced boron derivative materials, and critical materials, today announced the closing of its previously announced best efforts public offering of common stock in the United States (the "Offering"). The Offering consisted of 18,000,000 shares of common stock at a public offering price of $2.00 per share, for gross proceeds of approximately $36 million, before deducting placement agent fees and other estimated Offering expenses payable by 5E.

Konik Capital Partners, LLC, a division of T.R. Winston & Company, acted as the sole placement agent for the Offering.

5E currently intends to use the net proceeds from the Offering, together with its existing cash, cash equivalents and marketable securities, for the operation of its small-scale boron facility (SSBF), wellfield development and finalization of our commercial mine plan, FEED engineering, and general corporate purposes. We believe this financing provides the necessary capital to finalize pending commercial offtake contracts and extends our operational runway through the critical commercialization phase.

The Offering was made pursuant to an effective registration statement on Form S-1 (File No. 333-292988) that was filed with and declared effective by the Securities and Exchange Commission (the "SEC") on January 29, 2026. A final prospectus relating to and describing the final terms of the Offering has been filed with the SEC and is available on the SEC's website located at <u>http://www.sec.gov</u>. The Offering was made only by means of a prospectus forming part of the effective registration statement. Electronic copies of the final prospectus relating to the Offering may be obtained from: Konik Capital Partners, LLC, a division of T.R. Winston & Company, 7 World Trade Center, 46th Floor, New York, NY 10007, or e-mail at capmarkets@konikcapitalpartners.com.

This press release shall not constitute an offer to sell or the solicitation of an offer to buy the securities described herein, nor shall there be any sale of these securities in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction.

**About 5E Advanced Materials, Inc.**

5E Advanced Materials, Inc. (Nasdaq: FEAM) (ASX:5EA) is focused on becoming a vertically integrated global leader and supplier of boron specialty and advanced materials, complemented by lithium co-product production. The Company's mission is to become a supplier of these critical materials to industries addressing global decarbonization, food and domestic security. Boron and lithium products will target applications in the fields of electric transportation, clean energy infrastructure,

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such as solar and wind power, fertilizers, and domestic security. The business strategy and objectives are to develop capabilities ranging from upstream extraction and product sales of boric acid, lithium carbonate and potentially other co-products, to downstream boron advanced material processing and development. The business is based on our large domestic boron and lithium resource, which is located in Southern California and designated as Critical Infrastructure by the Department of Homeland Security's Cybersecurity and Infrastructure Security Agency.

**Forward Looking Statements**

Statements in this press release may contain "forward-looking statements" that are subject to substantial risks and uncertainties. Forward-looking statements contained in this press release may be identified by the use of words such as "may," "will," "should," "expect," "plan," "anticipate," "could," "intend," "target," "project," "contemplate," "believe," "estimate," "predict," "potential" or "continue" or the negative of these terms or other similar expressions, and include, but are not limited to, statements regarding 5E's intended use of proceeds from the Offering. Any forward-looking statements are based on 5E's current expectations, forecasts, and assumptions and are subject to a number of risks and uncertainties that could cause actual outcomes and results to differ materially and adversely from those set forth in or implied by such forward-looking statements. These risks and uncertainties include, but are not limited to, risks and uncertainties related to market conditions. For a discussion of other risks and uncertainties, and other important factors, any of which could cause our actual results to differ from those contained in the forward-looking statements, see the section entitled "Risk Factors" in 5E's most recent Annual Report on Form 10-K, its other reports filed with the SEC, as well as in the preliminary prospectus and final prospectus related to the Offering. Forward-looking statements contained in this announcement are based on information available to 5E as of the date hereof and are made only as of the date of this release. 5E undertakes no obligation to update such information except as required under applicable law. These forward-looking statements should not be relied upon as representing 5E's views as of any date subsequent to the date of this press release. In light of the foregoing, investors are urged not to rely on any forward-looking statement in reaching any conclusion or making any investment decision about any securities of 5E.

**For further information contact:**

**<u>Investor Relations</u>**

Brett Maas

Hayden IR, LLC

<u>FEAM@haydenir.com</u>

Ph: +1 (480) 861-2425

**<u>Media Relations</u>**

Paola Ashton

PRA Communications

<u>team@pracommunications.com</u>

Ph: +1 (604) 681-1407

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