Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aqua Metals, Inc.AQMS · Entity 7979 | Director · Chief Executive Officer | August 24, 2026 | August 26, 2026 |
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 August 24, 2026 · Filed August 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 318,784 |
Reported balance
After 2026-08-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-08-24 · Grant · Acquired 104,818 · Balance 318,784 F1: Represents 104,818 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three-year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2026 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one share of Common Stock of the issuer. F2: Includes 178,536 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents 104,818 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three-year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2026 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one share of Common Stock of the issuer.
F2: Includes 178,536 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.
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 |
|---|---|---|---|---|---|---|
| August 24, 2026 Filed Aug 26, 2026 20:07 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 104,818 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-029013 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 318,784 F1 · kind: Represents 104,818 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three-year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2026 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one share of Common Stock of the issuer. F2 · balance_after: Includes 178,536 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| August 19, 2026 Filed Aug 21, 2026 20:02 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 3,305 | $2.67 | $8,824.35 |
DisclosureSEC source: 0001437749-26-028726 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 213,966 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the August 19, 2026 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 73,718 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| July 01, 2026 Filed Jul 7, 2026 20:05 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 2,402 | $2.97 | $7,133.94 |
DisclosureSEC source: 0001437749-26-022930 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 217,271 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the July 1, 2026 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 81,522 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| April 13, 2026 Filed Apr 15, 2026 20:21 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 2,352 | $3.92 | $9,219.84 |
DisclosureSEC source: 0001437749-26-012402 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 219,673 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the April 13, 2026 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 87,192 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| February 24, 2026 Filed Feb 27, 2026 00:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 3,307 | $4.76 | $15,741.32 |
DisclosureSEC source: 0001437749-26-005958 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 222,025 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the February 24, 2026 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 92,745 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| February 13, 2026 Filed Feb 17, 2026 11:06 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 79,873 | $4.72 | $377,000.56 |
DisclosureSEC source: 0001437749-26-004204 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 225,332 F1 · kind: The reporting person is reporting the acquisition of shares of the issuer's common stock pursuant to the Aqua Metals, Inc. 2026 Employee Stock Purchase Plan. F2 · balance_after: Includes 100,549 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:22 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerPerformance Share Units · Derivative | 4,530 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-001025 · rdgdoc.xml · derivative · entry 5 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,530 shares Expires 2027-12-31 F3 · kind: Represents voluntary agreement to forfeit and cancel all outstanding performance stock units ("PSUs") previously granted and reported on Table II. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:22 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerPerformance Share Units · Derivative | 1,510 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-001025 · rdgdoc.xml · derivative · entry 4 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,510 shares Expires 2027-12-31 F3 · kind: Represents voluntary agreement to forfeit and cancel all outstanding performance stock units ("PSUs") previously granted and reported on Table II. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:22 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerPerformance Share Units · Derivative | 1,510 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-001025 · rdgdoc.xml · derivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,510 shares Expires 2026-12-31 F3 · kind: Represents voluntary agreement to forfeit and cancel all outstanding performance stock units ("PSUs") previously granted and reported on Table II. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:22 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerPerformance Share Units · Derivative | 1,510 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-001025 · rdgdoc.xml · derivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,510 shares Expires 2025-12-31 F3 · kind: Represents voluntary agreement to forfeit and cancel all outstanding performance stock units ("PSUs") previously granted and reported on Table II. Read SEC document |
| January 07, 2026 Filed Jan 10, 2026 00:22 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerCommon Stock | 2,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-001025 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,459 F1 · kind: Represents voluntary agreement to forfeit and cancel unvested restricted stock units ("RSUs") previously granted and reported on Table I. F2 · balance_after: Includes 100,549 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| January 02, 2026 Filed Jan 6, 2026 23:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 3,208 | $4.80 | $15,398.40 |
DisclosureSEC source: 0001437749-26-000662 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 147,559 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the January 2, 2026 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 102,649 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 18, 2025 Filed Dec 22, 2025 11:15 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 6,247 | $5.46 | $34,108.62 |
DisclosureSEC source: 0001437749-25-038472 · rdgdoc.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 150,767 F2 · shares: Represents the number of shares withheld and returned to the plan to cover the tax liability of the December 18, 2025 stock awarded. F3 · balance_after: Includes 109,377 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 18, 2025 Filed Dec 22, 2025 11:15 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 14,749 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-038472 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 157,014 F1 · shares: Represents 14,749 of common stock issued to the reporting person on a fully vested basis. Read SEC document |
| October 13, 2025 Filed Oct 15, 2025 23:00 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 33,320 | $9.58 | $319,205.60 |
DisclosureSEC source: 0001437749-25-031082 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 142,265 F1 · shares: Represents 33,320 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2025 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F2 · balance_after: Includes 109,377 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| September 19, 2025 Filed Sep 23, 2025 20:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 4,765 | $4.12 | $19,631.80 |
DisclosureSEC source: 0001437749-25-029742 · rdgdoc.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 110,604 F2 · shares: Represents the number of shares withheld and returned to the plan to cover the tax liability of the September 19, 2025 stock awarded. F3 · balance_after: Includes 76,057 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| September 19, 2025 Filed Sep 23, 2025 20:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 11,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-029742 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,369 F1 · shares: Represents 11,250 of common stock issued to the reporting person on a fully vested basis. Read SEC document |
| August 20, 2025 Filed Aug 21, 2025 22:44 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 1,920 | $3.68 | $7,065.60 |
DisclosureSEC source: 0001437749-25-027542 · rdgdoc.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 104,119 F2 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the August 19, 2025 vesting of a previously reported restricted share grant represented in Table I. F3 · balance_after: Includes 76,057 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| August 19, 2025 Filed Aug 21, 2025 22:44 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 46,824 | $3.95 | $184,954.80 |
DisclosureSEC source: 0001437749-25-027542 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 106,039 F1 · balance_after: Represents 46,824 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2025 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. Read SEC document |
| July 01, 2025 Filed Jul 3, 2025 21:21 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 9,301 | $0.49 | $4,557.49 |
DisclosureSEC source: 0001437749-25-022172 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 592,154 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the July 1, 2025 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 374,750 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| February 20, 2025 Filed Feb 24, 2025 11:28 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 37,103 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-004809 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 601,455 F1 · shares: Represents 37,103 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled six months after the grant date, subject to the Reporting Person's continuation of service with the Company. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F2 · balance_after: Includes 396,710 shares underlying RSUs that are not yet vested and deliverable. Read SEC document |
| January 01, 2025 Filed Jan 3, 2025 23:43 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 13,337 | $2.52 | $33,609.24 |
DisclosureSEC source: 0001437749-25-000354 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 564,352 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the January 1, 2025 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 359,607 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 19, 2024 Filed Dec 20, 2024 23:10 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock Purchase Warrant (right to buy) · Derivative | 175,000 | $0.00 Strike: $1.92 | $0.00 |
DisclosureSEC source: 0001437749-24-038193 · rdgdoc.xml · derivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2029-12-19 Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 23:24 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantPerformance Share Units · Derivative | 45,321 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-038307 · rdgdoc.xml · derivative · entry 5 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,321 Underlying: Common Stock · 45,321 shares Expires 2027-12-31 F7 · shares: Represents 45,321 shares underlying PSUs that vests based on Stock price targets that can be achieved anytime during the period but no later than 3 years after the 12/31/2024. PSUs vests based upon hitting stock price hurdles (for five consecutive days closing prices)within three years of 12/31/2024. The stock vest in 3 hurdles, with 1/3 share vesting with a 50% increase in stock price, 1/3 vesting with a 100% increase in stock price and 1/3 vesting with a 150% increase in stock price. The base or starting stock price is calculated as the 30-day average VWAP closing price at 12/31/2024 Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 23:24 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantPerformance Share Units · Derivative | 15,107 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-038307 · rdgdoc.xml · derivative · entry 4 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,107 Underlying: Common Stock · 15,107 shares Expires 2027-12-31 F6 · shares: Represents 15,107 shares underlying PSUs that vests based on TSR which is based on the percentage difference between the current year 30-day average VWAP closing stock price at 12/31/2024 and a future date 30-day average VWAP closing stock price at 12/31/2027. TSR is paid out based on where AQMS compares with our pier group based on the following percentiles (50% 25th percentile, 100% at 50th percentile, 200% at 75th percentile). Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 23:24 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantPerformance Share Units · Derivative | 15,107 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-038307 · rdgdoc.xml · derivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,107 Underlying: Common Stock · 15,107 shares Expires 2026-12-31 F5 · shares: Represents 15,107 shares underlying PSUs that vests based on TSR which is based on the percentage difference between the current year 30-day average VWAP closing stock price at 12/31/2024 and a future date 30-day average VWAP closing stock price at 12/31/2026. TSR is paid out based on where AQMS compares with our pier group based on the following percentiles (50% 25th percentile, 100% at 50th percentile, 200% at 75th percentile). Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 23:24 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantPerformance Share Units · Derivative | 15,107 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-038307 · rdgdoc.xml · derivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,107 Underlying: Common Stock · 15,107 shares Expires 2025-12-31 F4 · shares: Represents 15,107 shares underlying Performance Share Units (PSU) that vests based on Total Shareholder Return (TSR) which is based on the percentage difference between the current year 30-day average VWAP closing stock price at 12/31/2024 and a future date 30-day average VWAP closing stock price at 12/31/2025. TSR is paid out based on where AQMS compares with our pier group based on the following percentiles (50% 25th percentile, 100% at 50th percentile, 200% at 75th percentile). Read SEC document |
| December 19, 2024 Filed Dec 23, 2024 23:24 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 271,927 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-038307 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 577,689 F1 · shares: Represents 271,927 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2024 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F2 · shares: In addition to the time based vesting requirement of the RSUs, 159,014 RSUs will also have a vesting requirement subject to the approval of sufficient additional shares being approved and added to the 2019 Plan at the 2025 Annual Shareholders Meeting. F3 · balance_after: Includes 387,592 shares underlying RSUs that are not yet vested and deliverable. Read SEC document |
| July 01, 2024 Filed Jul 3, 2024 21:56 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 236,986 | $0.32 | $75,835.52 |
DisclosureSEC source: 0001437749-24-022208 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,115,247 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the July 1, 2024 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 2,313,300 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| May 14, 2024 Filed May 17, 2024 00:11 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseNon-Redeemable Common Stock Purchase Warrant · Derivative | 250,000 | $0.01 Strike: $0.39 | $2,500.00 |
DisclosureSEC source: 0001437749-24-017367 · rdgdoc.xml · derivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2029-05-17 Read SEC document |
| May 14, 2024 Filed May 17, 2024 00:11 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 250,000 | $0.39 | $97,500.00 |
DisclosureSEC source: 0001437749-24-017367 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,352,233 F1 · balance_after: Includes 2,872,887 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| January 02, 2024 Filed Jan 3, 2024 23:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 220,103 | $0.79 | $173,881.37 |
DisclosureSEC source: 0001437749-24-000475 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,202,233 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the January 2, 2024 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 2,972,887 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 12, 2023 Filed Dec 14, 2023 22:05 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 420,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-034455 · rdgdoc.xml · nonDerivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,422,606 F3 · shares: Represents 420,000 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Each RSU entitles the reporting person to receive one common stock of the Company upon vesting of the RSU. The RSUs will vest and settle based on the Company's common stock achieving absolute price hurdles based on a 5-day VWAP at any time over the three years from the date of grant, as follows: 210,000 RSUs will vest and settle upon achieving $2.50 per share; 105,000 RSUs will vest and settle upon achieving $4.00 per share; and 105,000 RSUs will vest and settle upon achieving $5,00 per share. The RSUs have been granted under the Company's 2019 Stock Incentive Plan ("2019 Plan") and will expire on the third anniversary of the date of grant. F6 · balance_after: Includes 3,466,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 12, 2023 Filed Dec 14, 2023 22:05 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-034455 · rdgdoc.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,002,606 F2 · shares: Represents 100,000 shares underlying RSUs that are not yet vested and deliverable. Each RSU entitles the reporting person to receive one common stock of the Company upon vesting of the RSU. The RSUs will vest and settle based on the Company's achieving at least $8 million of revenue in fiscal 2024, with at least $5 million of production related revenue, as follows: 50,000 RSUs will vest and settle if the Company achieves at least $8 million of revenue in 2024; 100,000 RSUs will vest and settle if the Company achieves at least $10 million of revenue in 2024; and 150,000 RSUs will vest and settle if the Company achieves at least $15 million of revenue in 2024.. The RSUs have been granted under the 2019 Stock and will expire, if not vested and settled, upon the completion of the audit of the Company's financial statements for the year ended December 31, 2024. F5 · balance_after: Includes 3,046,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 12, 2023 Filed Dec 14, 2023 22:05 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 1,365,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-034455 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,902,606 F1 · shares: Represents 1,365,000 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2023 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F4 · balance_after: Includes 2,946,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| July 06, 2023 Filed Jul 6, 2023 23:16 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerCommon Stock | 37,633 | $1.11 | $41,772.63 |
DisclosureSEC source: 0001437749-23-019529 · rdgdoc.xml · nonDerivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 4,537,606 F3 · kind: Represents the number of shares sold by the Reporting Person under a 10b5-1 plan. Adoption date of referenced 10b5-1(c) plan is: 12-28-2022 F2 · balance_after: Includes 1,581,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| July 05, 2023 Filed Jul 6, 2023 23:16 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerCommon Stock | 62,367 | $1.16 | $72,345.72 |
DisclosureSEC source: 0001437749-23-019529 · rdgdoc.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 4,575,239 F3 · kind: Represents the number of shares sold by the Reporting Person under a 10b5-1 plan. Adoption date of referenced 10b5-1(c) plan is: 12-28-2022 F2 · balance_after: Includes 1,581,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 23:16 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 209,102 | $1.21 | $253,013.42 |
DisclosureSEC source: 0001437749-23-019529 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 4,637,606 F1 · kind: 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. F2 · balance_after: Includes 1,581,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| March 23, 2023 Filed Mar 24, 2023 20:35 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 82,636 | $1.05 | $86,767.80 |
DisclosureSEC source: 0001437749-23-007833 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,846,708 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the March 23, 2023 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 2,075,446 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 23:33 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Stock | 228,732 | $1.15 | $263,041.80 |
DisclosureSEC source: 0001437749-23-000568 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,929,074 F1 · kind: Represents the number of shares withheld and returned to the plan to cover the tax liability of the January 3, 2023 vesting of a previously reported restricted share grant represented in Table I. F2 · balance_after: Includes 2,285,446 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 22, 2022 Filed Dec 27, 2022 21:09 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 100,000 | $0.63 | $63,000.00 |
DisclosureSEC source: 0001437749-22-029786 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,157,806 F1 · kind: The reporting person is reporting the acquisition of shares of the issuer's common stock pursuant to the Aqua Metals, Inc. 2022 Employee Stock Purchase Plan. F2 · balance_after: Includes 2,848,747 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. Read SEC document |
| December 12, 2022 Filed Dec 14, 2022 23:41 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 1,270,589 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-029098 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,057,806 F1 · kind: Represents 1,270,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2022 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. Read SEC document |
| July 08, 2022 Filed Jul 8, 2022 22:55 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 283,758 | $0.77 | $218,493.66 |
DisclosureSEC source: 0001437749-22-016925 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,787,217 F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares. Read SEC document |
| March 24, 2022 Filed Mar 28, 2022 11:31 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 100,605 | $1.41 | $141,853.05 |
DisclosureSEC source: 0001437749-22-007301 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,070,975 F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares. Read SEC document |
| January 05, 2022 Filed Jan 6, 2022 22:53 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 124,474 | $1.27 | $158,081.98 |
DisclosureSEC source: 0001437749-22-000562 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,171,580 F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares. Read SEC document |
| December 13, 2021 Filed Dec 15, 2021 21:30 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 722,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-21-028668 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,296,054 F1 · shares: Represents 722,334 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2021 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. Read SEC document |
| July 02, 2021 Filed Jul 6, 2021 20:06 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 193,173 | $2.71 | $523,498.83 |
DisclosureSEC source: 0001437749-21-016436 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,483,354 F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares. Read SEC document |
| March 24, 2021 Filed Mar 26, 2021 21:49 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 87,660 | $3.88 | $340,120.80 |
DisclosureSEC source: 0001437749-21-007335 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,215,213 F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares. Read SEC document |
| March 02, 2021 Filed Mar 3, 2021 22:17 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 187,461 | $0.00 Strike: $1.88 | $0.00 |
DisclosureSEC source: 0001437749-21-004869 · rdgdoc.xml · derivative · entry 6 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,971,680 Underlying: Common Stock · 187,461 shares Expires 2021-07-04 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. F3 · kind: These stock options were scheduled to expire July 2021. F2 · balance_after: Includes 840,000 options and 2,131,680 RSUs. Read SEC document |
| March 02, 2021 Filed Mar 3, 2021 22:17 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Stock | 187,461 | $5.02 | $941,054.22 |
DisclosureSEC source: 0001437749-21-004869 · rdgdoc.xml · nonDerivative · entry 4 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,092,873 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.