SEC Form 4 · accession 0001209191-18-038408
Aqua Metals, Inc. · AQMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Knuettel Francis II
Officer — Chief Financial Officer
Period of report
Jun 15, 2018
Accepted (ET)
Jun 18, 2018 · 6:10 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 | Jun 15, 2018 | P | 2,500 | $3.3366 | A | 157,500 | D | |
| Common StockF1 | Jun 18, 2018 | P | 5,000 | $2.85 | A | 162,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 150,000 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. 50,000 of the RSU's shall vest and be delivered on April 12, 2019, 4,167 of the RSUs shall vest and be delivered each month thereafter, and 4,159 of the RSUs shall vest and be delivered on April 12, 2021.