American Battery (ABAT) insider: 274,617 shares vested, 1.24M $1.07 warrants granted

Rhea-AI Filing Summary

Steven Wu, Chief Operating Officer of American Battery Technology Co (ABAT), reported changes in his beneficial ownership on Form 4. On September 16, 2025 274,617 common shares vested under his employment agreement, increasing his post-transaction holdings to 365,996 shares. The same employment arrangement also resulted in the issuance of 1,240,709 warrants with a $1.07 exercise price; those warrants vest quarterly in 1/16th increments beginning September 16, 2024, and expire five years after issuance or vesting (effectively beginning September 16, 2030). On September 18, 2025 Mr. Wu sold 117,400 common shares at $2.63 per share to cover tax liabilities related to the vesting, leaving him with 248,596 shares directly owned following the sale.

Insights

Securities Analyst

TL;DR: Insider vested equity and received sizable warrants; a small sale covered taxes, leaving meaningful remaining ownership.

Steven Wu's Form 4 discloses routine equity compensation events tied to his employment: the vesting of 274,617 shares and issuance of 1,240,709 warrants at a $1.07 strike that vest quarterly. The warrant count is material relative to his reported shareholdings and could amplify future dilution if exercised, though exercise requires paying the strike price and is subject to vesting and expiry rules. The 117,400-share sale at $2.63 was explicitly to cover tax liabilities from vesting and reduced his direct holdings to 248,596 shares. These are customary corporate compensation transactions rather than open-market discretionary dispositions.

Corporate Governance Expert

TL;DR: Transactions align with employment agreement terms; vesting schedule and expiration timeline are clearly disclosed.

The filing documents that both restricted stock and warrants were granted pursuant to the COO's employment agreement, with a transparent vesting cadence (1/16th quarterly) and a defined expiry (five years after issuance or vesting). The tax-cover sale is identified as related to vesting, indicating compliance with reporting norms. From a governance standpoint, disclosures are complete for these events and indicate no undisclosed transfers or complex indirect ownership structures.

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

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 NV 89503

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
09/16/2025

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

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

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

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	09/16/2025		A		274,617(1)	A	$0.00	365,996	D
Common Stock	09/18/2025		F		117,400(2)	D	$2.63	248,596	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	09/16/2025		P		1,240,709(3)		(4)	(5)	Common Stock	1,240,709	$1.07	1,240,709	D

Explanation of Responses:

1. Represents the vesting of Common Stock awarded pursuant to the 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 1/16th quarterly, beginning September 16, 2024, and thereafter until fully vested.

5. The Warrants expire five years after issuance or vesting, whichever is later, beginning September 16, 2030.

	/s/ Steven Wu	09/18/2025
	** 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.
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FAQ

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

He reported vesting of 274,617 common shares on 09/16/2025, issuance of 1,240,709 warrants, and a sale of 117,400 shares on 09/18/2025 to cover taxes.

How many warrants were issued to Steven Wu and what is the exercise price?

1,240,709 warrants were issued with a $1.07 exercise price.

What is the warrants' vesting schedule and expiration?

Warrants vest in 1/16th quarterly increments beginning 09/16/2024 and expire five years after issuance or vesting, effectively beginning 09/16/2030.

How many shares does Steven Wu beneficially own after these transactions?

After the vesting and tax-cover sale, he beneficially owns 248,596 common shares directly.

At what price were the shares sold to cover taxes?

117,400 shares were sold at $2.63 per share on 09/18/2025 to cover tax liabilities.