0001437749-23-019527.txt : 20230706 0001437749-23-019527.hdr.sgml : 20230706 20230706191545 ACCESSION NUMBER: 0001437749-23-019527 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230703 FILED AS OF DATE: 20230706 DATE AS OF CHANGE: 20230706 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: 231074887 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 X0407 4 2023-07-03 0001621832 Aqua Metals, Inc. AQMS 0001652660 Merrill Judd 5370 KIETZKE LN SUITE 201 RENO NV 89511 1 Chief Financial Officer 1 Common Stock 2023-07-03 4 F 0 87276 1.21 D 1486507 D Common Stock 2023-07-06 4 D 0 25000 1.12 D 1461507 D Represents the number of shares withheld and returned to the plan to cover the tax liability of the July 3, 2023 vesting of a previously reported restricted share grant represented in Table I. Includes 704,662 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Represents the number of shares sold by the Reporting Person under a 10b5-1 plan. Adoption date of referenced 10b5-1(c) plan is: 03-16-2023 /s/ Judd Merrill 2023-07-06