SEC Form 4 · accession 0001209191-17-059382
Aqua Metals, Inc. · AQMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen R. Clarke
Officer — President & CEO · Director
Period of report
Nov 3, 2017
Accepted (ET)
Nov 6, 2017 · 2:06 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 StockF1 | Nov 3, 2017 | A | 135 | $3.72 | A | 1,029,028 | D | |
| Common StockF2 | holding | — | — | — | 732,559 | I | By Corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16b pursuance to Rule 16b-3(d).
- F2Represents 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.