0001209191-18-038408.txt : 20180618
0001209191-18-038408.hdr.sgml : 20180618
20180618181028
ACCESSION NUMBER: 0001209191-18-038408
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180615
FILED AS OF DATE: 20180618
DATE AS OF CHANGE: 20180618
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Francis Knuettel II
CENTRAL INDEX KEY: 0001433316
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37515
FILM NUMBER: 18905620
MAIL ADDRESS:
STREET 1: 205 NEWBURY ST
STREET 2: SUITE 204
CITY: FRAMINGHAM
STATE: MA
ZIP: 01701
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Aqua Metals, Inc.
CENTRAL INDEX KEY: 0001621832
STANDARD INDUSTRIAL CLASSIFICATION: SECONDARY SMELTING & REFINING OF NONFERROUS METALS [3341]
IRS NUMBER: 471169572
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: 1010 ATLANTIC AVENUE
CITY: ALAMEDA
STATE: CA
ZIP: 94501
BUSINESS PHONE: (510) 479-7635
MAIL ADDRESS:
STREET 1: 1010 ATLANTIC AVENUE
CITY: ALAMEDA
STATE: CA
ZIP: 94501
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-06-15
0
0001621832
Aqua Metals, Inc.
AQMS
0001433316
Francis Knuettel II
1010 ATLANTIC AVE.
ALAMEDA
CA
94501
0
1
0
0
Chief Financial Officer
Common Stock
2018-06-15
4
P
0
2500
3.3366
A
157500
D
Common Stock
2018-06-18
4
P
0
5000
2.85
A
162500
D
Includes 150,000 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. 50,000 of the RSU's shall vest and be delivered on April 12, 2019, 4,167 of the RSUs shall vest and be delivered each month thereafter, and 4,159 of the RSUs shall vest and be delivered on April 12, 2021.
/s/ Kathleen Dotson, by power of attorney
2018-06-18
EX-24.4_797171
2
poa.txt
POA DOCUMENT
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned's hereby makes, constitutes
and appoints Kathleen Dotson as the undersigned's true and lawful
attorney-in-fact, with full power and authority as hereinafter described on
behalf of and in the name, place and stead of the undersigned to:
(1) prepare, execute, acknowledge, deliver and file Forms 3, 4, and 5 (including
any amendments thereto) with respect to the securities of Aqua Metals, Inc., a
Delaware corporation (the "Company"), with the United States Securities and
Exchange Commission, any national securities exchanges and the Company, as
considered necessary or advisable under Section 16(a) of the Securities Exchange
Act of 1934 and the rules and regulations promulgated thereunder, as amended
from time to time (the "Exchange Act");
(2) seek or obtain, as the undersigned's representative and on the undersigned's
behalf, information on transactions in the Company's securities from any third
party, including brokers, employee benefit plan administrators and trustees, and
the undersigned hereby authorizes any such person to release any such
information to the undersigned and approves and ratifies any such release of
information; and
(3) perform any and all other acts which in the discretion of such
attorney-in-fact are necessary or desirable for and on behalf of the undersigned
in connection with the foregoing.
The undersigned acknowledges that:
(1) this Power of Attorney authorizes, but does not require, such
attorney-in-fact to act in their discretion on information provided to such
attorney-in-fact without independent verification of such information;
(2) any documents prepared and/or executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney will be in such form and will
contain such information and disclosure as such attorney-in-fact, in his or her
discretion, deems necessary or desirable;
(3) neither the Company nor such attorney-in-fact assumes (i) any liability for
the undersigned's responsibility to comply with the requirement of the Exchange
Act, (ii) any liability of the undersigned for any failure to comply with such
requirements, or (iii) any obligation or liability of the undersigned for profit
disgorgement under Section 16(b) of the Exchange Act; and
(4) this Power of Attorney does not relieve the undersigned from responsibility
for compliance with the undersigned's obligations under the Exchange Act,
including without limitation the reporting requirements under Section 16 of the
Exchange Act.
The undersigned hereby gives and grants the foregoing attorney-in-fact full
power and authority to do and perform all and every act and thing whatsoever
requisite, necessary or appropriate to be done in and about the foregoing
matters as fully to all intents and purposes as the undersigned might or could
do if present, hereby ratifying all that such attorney-in-fact of, for and on
behalf of the undersigned, shall lawfully do or cause to be done by virtue of
this Limited Power of Attorney.
This Power of Attorney shall remain in full force and effect until revoked by
the undersigned in a signed writing delivered to such attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 4th day of June, 2018.
/s/ Francis Knuettel II
________________________
Signature
Francis Knuettel II
________________________
Print Name