OMB APPROVAL
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB Number:3235-0145
Expires:Estimated average burden
hours per response10.4
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
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Aqua Metals, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
03837J 101
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(CUSIP Number)
May 20, 2016
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(Date of Event Which Requires Filing of this Statement)
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Jeffrey L Feinberg Personal Trust
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF
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5
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SOLE VOTING POWER
0
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SHARES
BENEFICIALLY
OWNED BY
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6
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SHARED VOTING POWER
1,156,102
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EACH
REPORTING
PERSON
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7
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SOLE DISPOSITIVE POWER
0
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WITH:
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8
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SHARED DISPOSITIVE POWER
1,156,102
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,156,102
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.18% (See item 4)
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12
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TYPE OF REPORTING PERSON*
OO
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Jeffrey L Feinberg
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF
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5
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SOLE VOTING POWER
0
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SHARES
BENEFICIALLY
OWNED BY
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6
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SHARED VOTING POWER
1,156,102
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EACH
REPORTING
PERSON
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7
|
SOLE DISPOSITIVE POWER
0
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WITH:
|
8
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SHARED DISPOSITIVE POWER
1,156,102
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,156,102
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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||
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.18% (See item 4)
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12
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TYPE OF REPORTING PERSON*
IN
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(a) | Name of Issuer |
(b) |
Address of Issuer's Principal Executive Offices
1010 Atlantic Avenue
Alameda, California 94501
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(a) | Name of Person Filing |
(i) | Jeffrey L. Feinberg Personal Trust (the "Trust") |
(b) | Address of Principal Business Office or, if none, Residence |
(c) | Citizenship |
(d) | Title of Class of Securities |
(e) | CUSIP Number |
(a) | ☐ | Broker or dealer registered under section 15 of the Act. |
(b) | ☐ | Bank as defined in section 3(a)(6) of the Act. |
(c) | ☐ | Insurance company as defined in section 3(a)(19) of the Act. |
(d) | ☐ | Investment company registered under section 8 of the Investment Company Act of 1940. |
(e) | ☐ | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). |
(f) | ☐ | An employee benefit plan or endowment fund in accordance with § 240.13d‑1(b)(1)(ii)(F). |
(g) | ☐ | A parent holding company or control person in accordance with § 240.13d‑1(b)(1)(ii)(G). |
(h) | ☐ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. |
(i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940. |
(j) | ☐ | Group, in accordance with § 240.13d‑1(b)(1)(ii)(J). |
(a) | Amount Beneficially Owned |
(b) | Percent of Class |
The Trust and Trustee beneficially owns 8.18% of the Issuer's Common Shares Stock.*
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(c) | Number of shares as to which such person has: |
(i) | Sole power to vote or to direct the vote |
(ii) | Shared power to vote or to direct the vote |
(iii) | Sole power to dispose or to direct the disposition of |
(iv) | Shared power to dispose or to direct the disposition of |
May 31, 2016
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Date
/s/ Jeffrey L. Feinberg
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Signature
Trustee of the Jeffrey L. Feinberg Personal Trust
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/s/ Jeffrey L. Feinberg
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Signature
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