SEC Form 4 · accession 0001209191-15-067709
Aqua Metals, Inc. · AQMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen R. Clarke
Officer — President and CEO · Director · 10% Owner
Period of report
Aug 21, 2015
Accepted (ET)
Aug 25, 2015 · 1:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001621832
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 21, 2015 | P | 2,500 | $4.9543 | A | 1,006,137 | D | |
| Common StockF2 | Aug 24, 2015 | P | 2,500 | $4.7278 | A | 1,008,637 | D | |
| Common StockF3 | holding | — | — | — | 732,559 | I | By corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.85 to $5.00, inclusive. The reporting person undertakes to provide to Aqua Metals, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnotes (1) and (2) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.65 to $4.85, inclusive.
- F3The shares are owned directly by AIC Nevada, Inc. ("AIC"), and indirectly by Mr. Clarke, who is a director of AIC and is considered to have voting and dispositive power over the shares held by AIC. Mr. Clarke is the President and Chief Executive Officer, a director and a 10% stockholder of the Issuer.