Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aqua Metals, Inc.AQMS · Entity 7979 | Director | April 02, 2020 | April 06, 2020 |
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 April 02, 2020 · Filed April 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.48 · Expires 2024-05-03 | Direct | 0 |
Reported balance
After 2020-04-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-04-02 · Disposition to issuer · Disposed 30,336 · Balance 0 F1: On April 2,2020, the issuer and reporting person agreed to the cancellation of 30,336 options held by reporting person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 36,585 |
Reported balance
After 2020-04-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-04-02 · Grant · Acquired 36,585 · Balance 36,585 F2: Includes 36,585 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. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 2,2020, the issuer and reporting person agreed to the cancellation of 30,336 options held by reporting person.
F2: Includes 36,585 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.
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 |
|---|---|---|---|---|---|---|
| April 02, 2020 Filed Apr 6, 2020 19:13 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 36,585 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000053 · wf-form4_158621478937892.xml · derivative · entry 2 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,585 Underlying: Common Shares · 36,585 shares Expires not disclosed F2 · kind: Includes 36,585 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: Includes 36,585 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: Includes 36,585 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 19:13 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerStock Options · Derivative | 30,336 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001621832-20-000053 · wf-form4_158621478937892.xml · derivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 30,336 shares Expires 2024-05-03 F1 · kind: On April 2,2020, the issuer and reporting person agreed to the cancellation of 30,336 options held by reporting person. Read SEC document |
| January 03, 2020 Filed Jan 7, 2020 20:16 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Share Units · Derivative | 20,378 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000019 · wf-form4_157844614479024.xml · derivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,378 Underlying: Common Shares · 20,378 shares Expires 2025-03-31 F1 · shares: Includes 20,378 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 17:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Share Units · Derivative | 8,824 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000103 · wf-form4_157022520194518.xml · derivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,895 Underlying: Common Shares · 8,824 shares Expires 2023-12-31 F1 · shares: Includes 8,824 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 56,071 Stock Options and 8,824 RSUs Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 15:48 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 9,317 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000056 · wf-form4_156218330320788.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,129 F1 · shares: Represents 9,317 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 16, 2019 Filed May 17, 2019 17:46 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 5,000 | $1.92 | $9,600.00 |
DisclosureSEC source: 0001621832-19-000046 · wf-form4_155812959515353.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,812 F1 · balance_after: Includes 4,839 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 |
| May 03, 2019 Filed May 7, 2019 17:34 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantStock Options · Derivative | 30,336 | $2.48 Strike: $2.48 | $75,233.28 |
DisclosureSEC source: 0001621832-19-000036 · wf-form4_155726479767066.xml · derivative · entry 2 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,336 Underlying: Common Shares · 30,336 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 17:51 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 4,839 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000018 · wf-form4_155432828381378.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,812 F1 · shares: Represents 4,839 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 17:56 UTC Amendment | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 8,108 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000019 · wf-form4a_155432857414154.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,973 F1 · shares: Includes 8,108 shares underlying restricted stock units ("RSUs")that are vested and deliverable as part of director compensation arrangement. Read SEC document |
| January 02, 2019 Filed Jan 3, 2019 21:47 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 6,757 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001627 · doc4.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,622 F1 · shares: Includes 6,757 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 18:50 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 8,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-041771 · doc4.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,865 F1 · shares: Includes 8,865 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 18:15 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 15,000 | $2.85 | $42,750.00 |
DisclosureSEC source: 0001209191-18-038414 · doc4.xml · nonDerivative · entry 1 KAPOOR SUSHIL · CIK 0001274227 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,000 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.