SEC Form 4 · accession 0001615774-17-002069
Aqua Metals, Inc. · AQMS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Interstate Batteries, Inc.
10% Owner
Period of report
May 2, 2017
Accepted (ET)
May 4, 2017 · 8:05 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 StockF2,F3 | May 2, 2017 | S | 42,500 | $16.7885 | D | 599,437 | I | By subsidiary |
| Common StockF4,F3 | May 3, 2017 | S | 48,327 | $17.093 | D | 551,110 | I | By subsidiary |
| Common StockF5,F3 | May 4, 2017 | S | 4,500 | $17.6178 | D | 546,610 | I | By subsidiary |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on March 13, 2017.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.74 to $16.83 inclusive.
- F3These securities are directly owned by Interstate Emerging Investments, LLC. The reporting entity is the sole member of Interstate Emerging Investments, LLC.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.97 to $17.30 inclusive.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.61 to $17.62 inclusive.