SEC Form 4 · accession 0001209191-16-151062
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
Nov 16, 2016
Accepted (ET)
Nov 17, 2016 · 9:16 pm EST
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 Stock | Nov 16, 2016 | P | 20,000 | $10.00 | A | 1,028,637 | D | |
| Common StockF1 | holding | — | — | — | 732,559 | I | By corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares held by AIC of Nevada, Inc. of which the reporting person is an officer, director and 19% shareholder. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial owner of all of the reported shares for purposes of Section 16 or for any other purpose.