0001437749-21-004870.txt : 20210303 0001437749-21-004870.hdr.sgml : 20210303 20210303171846 ACCESSION NUMBER: 0001437749-21-004870 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210301 FILED AS OF DATE: 20210303 DATE AS OF CHANGE: 20210303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Merrill Judd CENTRAL INDEX KEY: 0001652660 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37515 FILM NUMBER: 21710472 MAIL ADDRESS: STREET 1: 2425 CROOKED CANYON CT. CITY: RENO STATE: NV ZIP: 89521 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 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2500 PERU DR. CITY: MCCARRAN STATE: NV ZIP: 89437 BUSINESS PHONE: (775) 525-1936 MAIL ADDRESS: STREET 1: 2500 PERU DR. CITY: MCCARRAN STATE: NV ZIP: 89437 4 1 rdgdoc.xml FORM 4 X0306 4 2021-03-01 0001621832 Aqua Metals, Inc. AQMS 0001652660 Merrill Judd 2500 PERU DR SPARKS NV 89437 1 Chief Financial Officer Common Stock 2021-03-01 4 M 0 9973 1.88 A 390814 D Common Stock 2021-03-01 4 S 0 9973 5.15 D 380841 D Common Stock 2021-03-02 4 M 0 46725 1.88 A 427566 D Common Stock 2021-03-02 4 S 0 46725 5.15 D 380841 D Employee Stock Option (right to buy) 1.88 2021-03-01 4 M 0 9973 0 D 2019-01-04 2021-07-04 Common Stock 9973 899633 D Employee Stock Option (right to buy) 1.88 2021-03-02 4 M 0 46725 0 D 2019-01-04 2021-07-04 Common Stock 46725 852908 D Includes 146,725 options and 752,908 RSUs. Includes 100,000 options and 752,908 RSUs. These stock options were scheduled to expire in July 2021. /s/ Judd Merrill 2021-03-03