ABAT COO awarded shares, gains 1.09M warrants

American Battery Technology Co Chief Operating Officer Steven Wu reported a mix of compensation-related share activity and a large warrant acquisition.

Rhea-AI Filing Summary

American Battery Technology Co Chief Operating Officer Steven Wu reported a mix of compensation-related share activity and a large warrant acquisition. He received a grant of 203,700 shares of common stock at no cost under his employment agreement, with part of this award vesting.

To cover the tax liability from this vesting, 107,760 common shares were disposed of at $3.49 per share, a withholding-related transaction rather than an open-market sale. Wu also acquired 1,093,275 warrants at $1.07 per warrant, tied to his employment agreement, which are scheduled to vest over time and expire five years after issuance or vesting, beginning June 5, 2031. Following these transactions, he directly holds 458,175 common shares and 1,093,275 warrants.

Insights

Equity compensation analyst

Routine equity compensation, plus a sizable warrant position.

Steven Wu’s activity combines standard equity compensation mechanics with a significant new derivative stake. The 203,700-share grant is compensation under his employment agreement, while the 107,760-share disposition is explicitly to cover tax obligations from vesting, not an open-market sale.

The 1,093,275 warrants acquired at $1.07 per warrant create substantial potential exposure to American Battery Technology Co equity. Footnotes state these warrants vest in tranches starting on September 16, 2025 and expire five years after issuance or vesting, beginning June 5, 2031.

Overall, this filing reflects routine compensation and tax-settlement activity paired with a large, long-dated warrant grant. Wu’s post-transaction holdings of 458,175 common shares and 1,093,275 warrants indicate a meaningful ongoing equity interest, while signaling no discretionary open-market share sales in this disclosure.

Insider Trade Summary

Net Buyer: 1,093,275 shares

Net Buy 3 txns

Insider Wu Steven

Role Chief Operating Officer

Bought 1,093,275 shs ($1.17M)

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	107,760	$3.49	$376K
Purchase	Warrants	1,093,275	$1.07	$1.17M
Grant/Award	Common Stock	203,700	$0.00	$0.00

Holdings After Transaction: Warrants — 1,093,275 contracts (Direct); Common Stock — 458,175 shares (Direct)

Footnotes (5)

1. F1. Represents the vesting of Common Stock awarded pursuant to the terms of terms of the Reporting Person's employment agreement.
2. F2. Represents the sale of Common Stock to cover tax liability associated with the vesting of the aforementioned Common Stock.
3. F3. Represents the issuance of Warrants pursuant to the terms of terms of the Reporting Person's employment agreement.
4. F4. The Warrants vest 4/16 on September 16, 2025, and thereafter 1/16th quarterly until fully vested.
5. F5. The Warrants expire five years after issuance or vesting, whichever is later, beginning June 5, 2031.

Key Figures

Common stock grant: 203,700 shares Tax-withholding disposition: 107,760 shares at $3.49/share Warrants acquired: 1,093,275 warrants at $1.07 +4 more

7 metrics

Common stock grant 203,700 shares Award under employment agreement on June 4, 2026

Tax-withholding disposition 107,760 shares at $3.49/share Shares disposed to cover tax liability on June 8, 2026

Warrants acquired 1,093,275 warrants at $1.07 Derivative acquisition on June 5, 2026

Post-transaction common shares 458,175 shares Direct common stock holdings after June 8, 2026

Post-transaction warrants 1,093,275 warrants Direct warrant holdings after June 5, 2026

Warrant vesting start September 16, 2025 4/16 of warrants vest on this date

Warrant expiration Beginning June 5, 2031 Expire five years after issuance or vesting, whichever is later

Key Terms

tax liability, grant, award, or other acquisition, Warrants, vesting, +1 more

5 terms

tax liability financial

"Represents the sale of Common Stock to cover tax liability associated with the vesting"

grant, award, or other acquisition financial

"Transaction code description: Grant, award, or other acquisition"

Warrants financial

"Represents the issuance of Warrants pursuant to the terms of the Reporting Person's employment agreement"

Warrants are special documents that give you the right to buy a company's stock at a set price before a certain date. They are often used as a way for companies to attract investors or raise money, and their value can increase if the company's stock price goes up.

vesting financial

"The Warrants vest 4/16 on September 16, 2025, and thereafter 1/16th quarterly"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

open-market purchase financial

"Transaction action: open-market purchase"

An open-market purchase is when an investor or a company buys shares on a public stock exchange at the going market price, rather than through a private deal. It matters to investors because these purchases change how many shares are available, can push the stock price up or signal confidence from large buyers, and often affect per-share metrics like earnings—think of it like someone buying lots of apples off a grocery shelf, reducing supply and potentially raising the price.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What equity grant did ABAT COO Steven Wu receive in this Form 4?

Steven Wu received a grant of 203,700 shares of American Battery Technology common stock at no cost under his employment agreement. The filing notes these shares vest pursuant to its terms, increasing his direct equity stake as the award vests over time.

Why were 107,760 ABAT shares disposed of in Steven Wu’s filing?

The 107,760 common shares were disposed of to cover tax liability from the vesting of previously awarded common stock. This tax-withholding disposition, reported at $3.49 per share, is a routine mechanism rather than a discretionary open-market sale of his investment position.

How many ABAT warrants did Steven Wu acquire and on what terms?

Steven Wu acquired 1,093,275 warrants related to American Battery Technology at $1.07 per warrant under his employment agreement. The warrants vest 4/16 on September 16, 2025, then 1/16 quarterly, and expire five years after issuance or vesting, beginning June 5, 2031.

What are Steven Wu’s ABAT holdings after the reported transactions?

After the reported transactions, Steven Wu directly holds 458,175 shares of American Battery Technology common stock and 1,093,275 warrants. These combined positions reflect both current ownership and substantial potential future equity exposure through the long-dated warrant grant structure.

Does this ABAT Form 4 show any open-market stock sales by Steven Wu?

The Form 4 does not report any open-market sales of common stock by Steven Wu. The only disposition is a 107,760-share transaction specifically described as covering tax liability from vesting, which is categorized as a tax-withholding disposition rather than a discretionary sale.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/08/2026 - 04:45 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Wu Steven

(Last) (First) (Middle)

C/O AMERICAN BATTERY TECHNOLOGY COMPANY

100 WASHINGTON STREET, SUITE 100

(Street)

RENO NEVADA 89503

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
AMERICAN BATTERY TECHNOLOGY Co [ ABAT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Operating Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/04/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/04/2026		A		203,700(1)	A	$0.00	565,935	D
Common Stock	06/08/2026		F		107,760(2)	D	$3.49	458,175	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Warrants	$1.07	06/05/2026		P		1,093,275(3)		(4)	(5)	Common Stock	1,093,275	$1.07	1,093,275	D

Explanation of Responses:

1. Represents the vesting of Common Stock awarded pursuant to the terms of terms of the Reporting Person's employment agreement.

2. Represents the sale of Common Stock to cover tax liability associated with the vesting of the aforementioned Common Stock.

3. Represents the issuance of Warrants pursuant to the terms of terms of the Reporting Person's employment agreement.

4. The Warrants vest 4/16 on September 16, 2025, and thereafter 1/16th quarterly until fully vested.

5. The Warrants expire five years after issuance or vesting, whichever is later, beginning June 5, 2031.

	/s/ Steven Wu	06/08/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)