SEC Form 4 · accession 0001209191-19-004801
Aqua Metals, Inc. · AQMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Judd Merrill
Officer — Chief Financial Officer
Period of report
Jan 17, 2019
Accepted (ET)
Jan 22, 2019 · 5:48 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 17, 2019 | P | 5,000 | $1.90 | A | 18,896 | D |
Table II — derivative securities
No Table II lines on this filing.
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 beginning July 4, 2019, 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.