Filing Details
- Accession Number:
- 0001437749-21-004869
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-03 17:17:03
- Reporting Period:
- 2021-03-01
- Accepted Time:
- 2021-03-03 17:17:03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1621832 | Aqua Metals Inc. | AQMS | Secondary Smelting & Refining Of Nonferrous Metals (3341) | 471169572 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1649322 | Stephen Cotton | 2500 Peru Dr Sparks NV 89437 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-03-01 | 45,000 | $1.88 | 1,137,873 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-01 | 45,000 | $5.15 | 1,092,873 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-03-02 | 187,461 | $1.88 | 1,280,334 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-02 | 187,461 | $5.02 | 1,092,873 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-01 | 45,000 | $0.00 | 45,000 | $1.88 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-03-02 | 187,461 | $0.00 | 187,461 | $1.88 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,159,141 | 2019-01-04 | 2021-07-04 | No | 4 | M | Direct |
| 2,971,680 | 2019-01-04 | 2021-07-04 | No | 4 | M | Direct |
Footnotes
- Includes 1,027,461 options and 2,131,680 RSUs.
- Includes 840,000 options and 2,131,680 RSUs.
- These stock options were scheduled to expire July 2021.
Billionaire Hedge Funds
