Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aqua Metals, Inc.AQMS · Entity 7979 | Director | May 03, 2021 | May 05, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aqua Metals, Inc.
Report date May 03, 2021 · Filed May 05, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 31,516 |
Reported balance
After 2021-05-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-05-03 · Grant · Acquired 26,133 · Balance 31,516 F1: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F2: Includes 31,516 RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.
F2: Includes 31,516 RSUs.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 03, 2021 Filed May 5, 2021 16:42 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 26,133 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-010923 · rdgdoc.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,516 Underlying: Common Shares · 26,133 shares Expires not disclosed F1 · shares: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.exercise_date: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.expiration_date: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F2 · balance_after: Includes 31,516 RSUs. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 17:45 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 5,383 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-008263 · rdgdoc.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,383 Underlying: Common Shares · 5,383 shares Expires not disclosed F1 · shares: Represents 5,383 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021. F1 · derivative.exercise_date: Represents 5,383 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021. F1 · derivative.expiration_date: Represents 5,383 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 16:20 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 38,603 | $0.00 Strike: $3.93 | $0.00 |
DisclosureSEC source: 0001437749-21-004998 · rdgdoc.xml · derivative · entry 4 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,503 Underlying: Common Stock · 38,603 shares Expires 2023-05-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Represents 6,503 RSUs Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 16:20 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Stock | 150,000 | $4.80 | $720,000.00 |
DisclosureSEC source: 0001437749-21-004998 · rdgdoc.xml · nonDerivative · entry 3 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,107 Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 16:20 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Stock | 38,603 | $4.80 | $185,294.40 |
DisclosureSEC source: 0001437749-21-004998 · rdgdoc.xml · nonDerivative · entry 2 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,107 Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 16:20 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Exercise / conversionCommon Stock | 38,603 | $3.93 | $151,709.79 |
DisclosureSEC source: 0001437749-21-004998 · rdgdoc.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,710 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 18:28 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 6,503 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-000157 · rdgdoc.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,106 Underlying: Common Shares · 6,503 shares Expires not disclosed F1 · shares: Represents 6,503 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on March 31, 2021. F1 · derivative.exercise_date: Represents 6,503 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on March 31, 2021. F1 · derivative.expiration_date: Represents 6,503 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on March 31, 2021. F2 · balance_after: Includes 38,603 options and 6,503 RSUs. Read SEC document |
| October 01, 2020 Filed Oct 1, 2020 18:38 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 24,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000122 · wf-form4_160159192071152.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,328 Underlying: Common Shares · 24,725 shares Expires not disclosed F1 · shares: Represents 24,725 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on December 31, 2020. F1 · derivative.exercise_date: Represents 24,725 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on December 31, 2020. F1 · derivative.expiration_date: Represents 24,725 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on December 31, 2020. F2 · balance_after: Includes 38,603 options and 24,725 RSUs Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 18:10 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 18,750 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000095 · wf-form4_159407342848078.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,353 Underlying: Common Shares · 18,750 shares Expires not disclosed F1 · shares: Represents 18,353 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on September 30, 2020. F1 · derivative.exercise_date: Represents 18,353 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on September 30, 2020. F1 · derivative.expiration_date: Represents 18,353 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on September 30, 2020. F2 · balance_after: Includes 38,603 options and 18,750 RSUs. Read SEC document |
| April 02, 2020 Filed Apr 6, 2020 19:12 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 54,878 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000050 · wf-form4_158621472547716.xml · derivative · entry 2 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,878 Underlying: Common Shares · 54,878 shares Expires not disclosed F2 · kind: Represents 54,878 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2020. F2 · derivative.exercise_date: Represents 54,878 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2020. F2 · derivative.expiration_date: Represents 54,878 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2020. Read SEC document |
| April 02, 2020 Filed Apr 6, 2020 19:12 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerStock Options · Derivative | 45,504 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001621832-20-000050 · wf-form4_158621472547716.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 45,504 shares Expires 2024-05-03 F1 · kind: On April 2,2020, the issuer and reporting person agreed to the cancellation of 45,504 options held by reporting person. Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 20:14 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Share Units · Derivative | 30,566 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000016 · wf-form4_157844606842479.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,566 Underlying: Common Shares · 30,566 shares Expires 2025-03-31 F1 · shares: Includes 30,566 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on March 31, 2020. F2 · balance_after: In accordance with Instruction 4 to this Form, Column 9 reports only total beneficial ownership of RSUs, the "class" of derivative security reported in Column 1. Read SEC document |
| October 02, 2019 Filed Oct 4, 2019 17:39 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Share Units · Derivative | 13,235 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000102 · wf-form4_157022517372343.xml · derivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,342 Underlying: Common Shares · 13,235 shares Expires 2023-12-31 F1 · shares: Includes 13,235 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on December 31, 2019. F2 · balance_after: Includes 84,107 Stock Options and 13,235 RSUs Read SEC document |
| August 08, 2019 Filed Aug 9, 2019 17:51 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 10,000 | $1.67 | $16,700.00 |
DisclosureSEC source: 0001621832-19-000086 · wf-form4_156538746984141.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,953 F1 · balance_after: Includes 13,975 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on September 30, 2019. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 15:50 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 13,975 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000060 · wf-form4_156218339291011.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,953 F1 · shares: Represents 13,975 common shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on September 30, 2019. Read SEC document |
| May 03, 2019 Filed May 7, 2019 17:33 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantStock Options · Derivative | 45,504 | $2.48 Strike: $2.48 | $112,849.92 |
DisclosureSEC source: 0001621832-19-000035 · wf-form4_155726476478056.xml · derivative · entry 2 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,504 Underlying: Common Shares · 45,504 shares Expires 2024-05-03 F1 · shares: Granted as part of annual director compensation arrangements. F2 · derivative.exercise_date: Options vest 1/12 per year beginning June 3, 2019 to be fully vested as of May 3, 2020. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:09 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 7,258 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000027 · wf-form4_155432937517770.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,978 F1 · shares: Represents 7,258 common shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 28, 2019. Read SEC document |
| April 01, 2019 Filed Apr 3, 2019 18:08 UTC Amendment | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 12,162 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000026 · wf-form4a_155432931928897.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,720 F1 · shares: Includes 12,162 shares underlying restricted stock units ("RSUs")that are vested and deliverable as part of director compensation arrangement. Read SEC document |
| January 17, 2019 Filed Jan 22, 2019 17:50 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 10,000 | $1.90 | $19,000.00 |
DisclosureSEC source: 0001209191-19-004805 · doc4.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,693 F1 · balance_after: Includes 10,135 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All of these RSU's shall vest and be delivered on March 29, 2019. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 21:50 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 10,135 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001631 · doc4.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,693 F1 · shares: Includes 10,135 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All of these RSU's shall vest and be delivered on March 29, 2019. Read SEC document |
| July 02, 2018 Filed Jul 5, 2018 18:55 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 13,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-041776 · doc4.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,558 F1 · shares: Includes 13,298 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All of these RSU's shall vest and be delivered on January 4, 2019. Read SEC document |
| June 18, 2018 Filed Jun 18, 2018 18:14 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 5,260 | $2.85 | $14,991.00 |
DisclosureSEC source: 0001209191-18-038412 · doc4.xml · nonDerivative · entry 1 Yosufzai S. Shariq · CIK 0001739726 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,260 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.