SEC Form 4 · accession 0001615774-18-005841
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
Jun 24, 2018
Accepted (ET)
Jun 28, 2018 · 1:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001621832
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF2 | $7.12 | Jun 24, 2018 | D | 702,247 | D | May 24, 2016 | Jun 24, 2018 | Common Stock | 702,247 | 0 | I |
| Warrant to Purchase Common StockF2 | $3.33 | Jun 24, 2018 | A | 702,247 | A | Jun 24, 2018 | Jun 23, 2020 | Common Stock | 702,247 | 702,247 | I |
Explanation of responses
- F1The stock warrant was repriced pursuant to an Omnibus Amendment Agreement, dated as of June 24, 2018, by and among the Issuer, Interstate Emerging Investments, LLC and the other party thereto, to (a) decrease the exercise price from $7.12 to $3.33 and (b) extend the expiration date from June 24, 2018 to June 23, 2020.
- F2These securities are directly owned by Interstate Emerging Investments, LLC. The reporting entity is the sole member of Interstate Emerging Investments, LLC.