SEC Form 4/A · accession 0001209191-19-002663
Aqua Metals, Inc. · AQMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Judd Merrill
Officer — Chief Financial Officer
Period of report
Jan 4, 2019
Accepted (ET)
Jan 7, 2019 · 8:25 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 | Jan 4, 2019 | A | 13,896 | $0.00 | A | 13,896 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.88 | Jan 4, 2019 | A | 56,698 | A | Jan 4, 2019 | Jan 4, 2021 | Common Stock | 56,698 | 56,698 | D |
Explanation of responses
- F1Includes 13,896 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2018 Long Term Incentive Program as non-cash stock awards.
- F2Represents Registrant's annual Short Term Incentive Program bonus for 2018. The Registrant has elected to receive payment in non-cash stock awards.