5E Advanced Materials, Inc. 10-K

Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities Market for Common Stock Our Common Stock is currently listed on NASDAQ under the symbol “FEAM.” The following table sets forth, for each of the periods indicated, the high and low reported sales price of our common stock on the NASDAQ. The closing price of our Common Stock on September 21, 2022 was $14.88 per share. As of that date, there were 31 holders of record of our Common Stock according to Computershare Trust Company, N.A.. The actual number of stockholders is greater than these numbers and includes holders who are beneficial owners, but whose shares are held in street name by brokers and other nominees. These numbers of active holders of record also do not include holders whose shares may be held in trust by other entities. Dividend Policy We have not paid any cash dividends on our Common Stock to date. The payment of cash dividends in the future will be dependent upon our revenues and earnings, if any, capital requirements and general financial condition. The payment of any cash dividends will be within the discretion of the Board of Directors. Securities authorized for issuance under equity compensation plans. See information incorporated by reference in Note 11, “Share-Based Compensation,” to our consolidated financial statements in Item 8 of this report and Item 12 of this report regarding securities authorized for issuance under our equity compensation plans. Sales of Unregistered Securities Date Title of Security Number Consideration Received Exemption from Registration Claimed Security Holder 3/15/2022 Common Stock 400,000 $ — (1) Section 4(a)(2) Blue Horizon Advisors LLC 3/28/2022 Common Stock 250,000 — (1) Section 4(a)(2) Blue Horizon Advisors LLC 4/12/2022 Common Stock 150,000 — (1) Section 4(a)(2) Blue Horizon Advisors LLC 5/16/2022 Common Stock 50,000 (2) 109,500 Section 4(a)(2) Aaron Dean Bertolatti <ATF Bertolatti Family Trust> 5/16/2022 Common Stock 100,000 (2) 219,000 Section 4(a)(2) JAWAF Enterprises Pty Ltd <Hall Family A/C> 5/23/2022 Common Stock 50,000 (2) 109,500 Section 4(a)(2) Scor Go Luath Limited 6/7/2022 Common Stock 50,000 (2) 182,500 Section 4(a)(2) Mrs. Eileen Ann Shipes <HR & EA Shipes Revocable A/C> 1,050,000 $ 620,500 (1) Shares issued for services (2) Shares issued upon option exercises The transactions listed above are exempt from registration pursuant to Section 4(a)(2) of the Securities Act. Item 6. [Reserved] 71 Table of Contents