ABAT COO gets stock awards, covers taxes in shares

American Battery Technology Co Chief Operating Officer Steven Wu reported routine equity compensation activity in company stock.

Accepted by SEC EDGAR 03/18/2026 - 04:51 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

American Battery Technology Co Chief Operating Officer Steven Wu reported routine equity compensation activity in company stock. On March 16, he acquired 30,178 and 38,476 shares of common stock at no cost through vesting awards under his employment agreement and the company’s equity compensation plan. On March 17, 27,635 shares were disposed of to cover tax liabilities tied to these vestings, a non‑market transaction. After these events, Wu directly holds 362,235 shares of common stock.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Wu Steven

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	27,635	$3.22	$89K
Grant/Award	Common Stock	30,178	$0.00	$0.00
Grant/Award	Common Stock	38,476	$0.00	$0.00

Holdings After Transaction: Common Stock — 362,235 shares (Direct)

Holdings Before and After: Common Stock, 321,216 to 362,235 shares (Direct)

Footnotes (3)

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 vesting of Common Stock awarded pursuant to the Company's employee equity compensation plan.
3. F3. Represents the sale of Common Stock to cover tax liability associated with the vesting of the aforementioned Common Stock.

FAQ

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What insider transactions did ABAT COO Steven Wu report on this Form 4?

Steven Wu reported equity compensation activity in ABAT stock. Two stock awards vested on March 16, 2026, increasing his holdings, and shares were then used on March 17, 2026 to pay tax liabilities related to these vestings.

How many ABAT shares did Steven Wu acquire through awards in this Form 4?

Steven Wu acquired 30,178 ABAT common shares and 38,476 ABAT common shares on March 16, 2026. Both awards vested at no cash cost under his employment agreement and the company’s employee equity compensation plan.

How many ABAT shares were disposed of to cover Steven Wu’s tax liabilities?

The filing shows 27,635 ABAT common shares were disposed of on March 17, 2026. Footnotes state this represents the sale of shares solely to cover tax liabilities tied to the vesting of previously awarded common stock.

How many ABAT shares does Steven Wu hold after these transactions?

After the reported transactions, Steven Wu directly holds 362,235 ABAT common shares. This figure reflects his position following the vesting of stock awards and the share disposition used to satisfy related tax obligations.

Were Steven Wu’s ABAT share transactions open-market buys or sells?

The reported ABAT transactions were not open-market buys or discretionary sales. They consist of stock awards vesting at no purchase price and a related tax-withholding share disposition to cover liabilities from those vestings.

What do the footnotes in Steven Wu’s ABAT Form 4 explain about these transactions?

The footnotes explain that the March 16, 2026 share increases reflect vesting of common stock under his employment agreement and ABAT’s equity plan, and the March 17, 2026 share disposition covers tax liabilities linked to this vesting activity.

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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)
03/16/2026

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	03/16/2026		A		30,178(1)	A	$0.00	351,394	D
Common Stock	03/16/2026		A		38,476(2)	A	$0.00	389,870	D
Common Stock	03/17/2026		F		27,635(3)	D	$3.22	362,235	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

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 vesting of Common Stock awarded pursuant to the Company's employee equity compensation plan.

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

	/s/ Steven Wu	03/18/2026
	** 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)