SEC Form 4 · accession 0001615774-17-002200
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 8, 2017
Accepted (ET)
May 10, 2017 · 5:11 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 8, 2017 | S | 40,283 | $17.0945 | D | 506,327 | I | By subsidiary |
| Common StockF4,F3 | May 9, 2017 | S | 32,500 | $16.7751 | D | 473,827 | 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 $16.76 to $17.75 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 $16.51 to $16.93 inclusive.