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 |
|---|---|---|---|---|---|---|
| March 02, 2021 Filed Mar 3, 2021 22:17 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Exercise / conversionCommon Stock | 187,461 | $1.88 | $352,426.68 |
DisclosureSEC source: 0001437749-21-004869 · rdgdoc.xml · nonDerivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,280,334 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 |
| March 01, 2021 Filed Mar 3, 2021 22:17 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $1.88 | $0.00 |
DisclosureSEC source: 0001437749-21-004869 · rdgdoc.xml · derivative · entry 5 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,159,141 Underlying: Common Stock · 45,000 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. F1 · balance_after: Includes 1,027,461 options and 2,131,680 RSUs. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 22:17 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Stock | 45,000 | $5.15 | $231,750.00 |
DisclosureSEC source: 0001437749-21-004869 · rdgdoc.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,092,873 Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 22:17 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Exercise / conversionCommon Stock | 45,000 | $1.88 | $84,600.00 |
DisclosureSEC source: 0001437749-21-004869 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,137,873 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 6, 2021 00:04 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 69,874 | $3.36 | $234,776.64 |
DisclosureSEC source: 0001437749-21-000164 · rdgdoc.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,092,873 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 16, 2020 Filed Dec 19, 2020 01:02 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 969,828 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-025643 · rdgdoc.xml · derivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,840,346 Underlying: Common Shares · 969,828 shares Expires not disclosed F1 · kind: Represents 969,828 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 2020 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.exercise_date: Represents 969,828 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 2020 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.expiration_date: Represents 969,828 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 2020 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 1,072,461 options and 2,767,885 RSUs. Read SEC document |
| August 07, 2020 Filed Aug 10, 2020 20:36 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 721 | $1.04 | $749.84 |
DisclosureSEC source: 0001621832-20-000119 · wf-form4_159709177190122.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 863,071 F1 · kind: Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16b pursuance to Rule 16b-3(d). Read SEC document |
| July 24, 2020 Filed Jul 27, 2020 21:52 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 670 | $1.12 | $750.40 |
DisclosureSEC source: 0001621832-20-000107 · wf-form4_159588675690298.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 862,350 F1 · kind: Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16b pursuance to Rule 16b-3(d). Read SEC document |
| July 10, 2020 Filed Jul 14, 2020 20:29 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 676 | $1.11 | $750.36 |
DisclosureSEC source: 0001621832-20-000103 · wf-form4_159475852641170.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 861,680 F1 · kind: Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16b pursuance to Rule 16b-3(d). Read SEC document |
| July 02, 2020 Filed Jul 7, 2020 22:21 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 169,606 | $1.15 | $195,046.90 |
DisclosureSEC source: 0001621832-20-000099 · wf-form4_159416048972894.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 861,004 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 |
| June 26, 2020 Filed Jun 29, 2020 12:55 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 682 | $1.10 | $750.20 |
DisclosureSEC source: 0001621832-20-000090 · wf-form4_159343531970580.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 730,933 F1 · shares: Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-3(d) Read SEC document |
| June 12, 2020 Filed Jun 15, 2020 21:34 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 872 | $0.86 | $749.92 |
DisclosureSEC source: 0001621832-20-000084 · wf-form4_159225685030000.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 730,251 F1 · shares: Shares were purchased under the Company's Officer and Director Share Purchase Plan in a transaction exempt from Section 16b pursuance to Rule 16b-3(d). Read SEC document |
| June 08, 2020 Filed Jun 8, 2020 21:15 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 50,069 | $0.87 | $43,560.03 |
DisclosureSEC source: 0001621832-20-000080 · wf-form4_159165088839587.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 729,379 Read SEC document |
| May 19, 2020 Filed May 21, 2020 00:21 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 1,316,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000078 · wf-form4_159002048351672.xml · derivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,870,518 Underlying: Common Shares · 1,316,250 shares Expires not disclosed F1 · kind: Represents 1,316,250 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 2019 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.exercise_date: Represents 1,316,250 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 2019 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F1 · derivative.expiration_date: Represents 1,316,250 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 2019 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 1,072,461 options and 1,798,057 RSUs. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 23:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Stock Units · Derivative | 371,250 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000042 · wf-form4_158517958532856.xml · derivative · entry 6 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,517,416 Underlying: Common Shares · 371,250 shares Expires not disclosed F7 · kind: Represents 371,250 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 2019 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F7 · derivative.exercise_date: Represents 371,250 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 2019 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F7 · derivative.expiration_date: Represents 371,250 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 2019 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer. F8 · balance_after: Includes 1,072,461 options and 444,955 RSUs. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 23:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerStock Options · Derivative | 420,000 | $0.00 Strike: $4.18 | $0.00 |
DisclosureSEC source: 0001621832-20-000042 · wf-form4_158517958532856.xml · derivative · entry 5 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,146,166 Underlying: Common Shares · 420,000 shares Expires 2024-02-25 F3 · kind: On March 23, 2020, the issuer and reporting person agreed to the cancellation of 1,260,000 options held by reporting person in exchange for 630,000 shares of restricted common stock. The restricted common stock vest in three equal installments on the first three anniversaries of the date of grant. F6 · balance_after: Includes 1,072,461 options and 73,705 RSUs. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 23:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerStock Options · Derivative | 420,000 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001621832-20-000042 · wf-form4_158517958532856.xml · derivative · entry 4 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,566,166 Underlying: Common Shares · 420,000 shares Expires 2024-02-25 F3 · kind: On March 23, 2020, the issuer and reporting person agreed to the cancellation of 1,260,000 options held by reporting person in exchange for 630,000 shares of restricted common stock. The restricted common stock vest in three equal installments on the first three anniversaries of the date of grant. F5 · balance_after: Includes 1,492,461 options and 73,705 RSUs. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 23:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Disposition to issuerStock Options · Derivative | 420,000 | $0.00 Strike: $3.08 | $0.00 |
DisclosureSEC source: 0001621832-20-000042 · wf-form4_158517958532856.xml · derivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,986,166 Underlying: Common Shares · 420,000 shares Expires 2024-02-25 F3 · kind: On March 23, 2020, the issuer and reporting person agreed to the cancellation of 1,260,000 options held by reporting person in exchange for 630,000 shares of restricted common stock. The restricted common stock vest in three equal installments on the first three anniversaries of the date of grant. F4 · balance_after: Includes 1,912,461 options and 73,705 RSUs. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 23:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Common Stock | 630,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000042 · wf-form4_158517958532856.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,309,310 F3 · kind: On March 23, 2020, the issuer and reporting person agreed to the cancellation of 1,260,000 options held by reporting person in exchange for 630,000 shares of restricted common stock. The restricted common stock vest in three equal installments on the first three anniversaries of the date of grant. Read SEC document |
| March 23, 2020 Filed Mar 25, 2020 23:40 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 13,315 | $0.39 | $5,192.85 |
DisclosureSEC source: 0001621832-20-000042 · wf-form4_158517958532856.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 679,310 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. The sale 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. The tax event was triggered by the vesting of shares issued to reimbursement for his personal moving expenses incurred in connection with the move of his family's primary residence from the Bay Area, California to Reno, Nevada. F2 · balance_after: Includes 46,099 net shares issued on March 23, 2020 as a result of settlement of RSUs previously reported in table II. Read SEC document |
| January 07, 2020 Filed Jan 10, 2020 00:03 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 4,918 | $0.80 | $3,934.40 |
DisclosureSEC source: 0001621832-20-000022 · wf-form4_157861459459516.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 633,211 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 03, 2020 Filed Jan 7, 2020 00:02 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Shares | 197,090 | $0.71 | $139,933.90 |
DisclosureSEC source: 0001621832-20-000009 · wf-form4_157835530258716.xml · nonDerivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 619,703 F2 · 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 02, 2020 Filed Jan 7, 2020 00:02 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Shares | 700,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001621832-20-000009 · wf-form4_157835530258716.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 816,793 F1 · kind: Shares issued related to the existing Company approved Short Term Incentive Program (STIP). Shares used in lieu of cash for payment of accrued and earned 2019 STIP. Read SEC document |
| September 23, 2019 Filed Sep 26, 2019 01:41 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantRestricted Share Units · Derivative | 59,414 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001621832-19-000095 · wf-form4_156946209800892.xml · derivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,484,006 Underlying: Common Shares · 59,414 shares Expires 2020-03-20 F1 · shares: Includes 59,414 RSU's that are not yet settled and deliverable. The RSU's will settle on March 20, 2020. The RSU's are reimbursement for his personal moving expenses incurred in connection with the move of his family's primary residence from the Bay Area, California to Reno, Nevada. F2 · balance_after: Includes 2,332,461 options and 151,545 RSUs. Read SEC document |
| July 06, 2019 Filed Jul 9, 2019 00:15 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | Tax withholdingCommon Shares | 7,533 | $1.83 | $13,785.39 |
DisclosureSEC source: 0001621832-19-000066 · wf-form4_156263129701763.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,924 F1 · shares: Represents the number of shares withheld to cover the tax liability of the July 6, 2019 vesting of a previously reported restricted share grant represented in Table I. Read SEC document |
| June 14, 2019 Filed Jun 14, 2019 22:04 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Shares | 10,000 | $1.51 | $15,050.00 |
DisclosureSEC source: 0001621832-19-000050 · wf-form4_156054987088463.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,457 F1 · balance_after: Includes 110,557 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 beginning July 4, 2019, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2018 Long Term Incentive Program as non-cash stock awards. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:42 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantStock Options · Derivative | 420,000 | $0.00 Strike: $4.18 | $0.00 |
DisclosureSEC source: 0001621832-19-000007 · wf-form4_155130376399770.xml · derivative · entry 4 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,332,461 Underlying: Common Shares · 420,000 shares Expires 2024-02-25 F2 · derivative.exercise_date: Options vest 1/3 per year annually commencing on January 7, 2020. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:42 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantStock Options · Derivative | 420,000 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0001621832-19-000007 · wf-form4_155130376399770.xml · derivative · entry 3 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,912,461 Underlying: Common Shares · 420,000 shares Expires 2024-02-25 F2 · derivative.exercise_date: Options vest 1/3 per year annually commencing on January 7, 2020. Read SEC document |
| February 25, 2019 Filed Feb 27, 2019 21:42 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantStock Options · Derivative | 420,000 | $0.00 Strike: $3.08 | $0.00 |
DisclosureSEC source: 0001621832-19-000007 · wf-form4_155130376399770.xml · derivative · entry 2 Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,492,461 Underlying: Common Shares · 420,000 shares Expires 2024-02-25 F2 · derivative.exercise_date: Options vest 1/3 per year annually commencing on January 7, 2020. Read SEC document |
| January 17, 2019 Filed Jan 22, 2019 22:45 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 15,000 | $1.90 | $28,500.00 |
DisclosureSEC source: 0001209191-19-004795 · doc4.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,457 F1 · balance_after: Includes 110,557 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 beginning July 4, 2019, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2018 Long Term Incentive Program as non-cash stock awards. Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 01:27 UTC Amendment | Aqua Metals, Inc. AQMS · Entity 7979 | GrantEmployee Stock Option (right to buy) · Derivative | 232,461 | $0.00 Strike: $1.88 | $0.00 |
DisclosureSEC source: 0001209191-19-002665 · doc4a.xml · derivative · entry 2 Cotton Stephen · CIK 0001649322 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,461 Underlying: Common Stock · 232,461 shares Expires 2021-01-04 F2 · shares: Represents the Reporting Person's annual Short Term Incentive Program bonus for 2018. The Reporting Person has elected to receive payment in non-cash stock awards. Read SEC document |
| January 04, 2019 Filed Jan 8, 2019 01:27 UTC Amendment | Aqua Metals, Inc. AQMS · Entity 7979 | GrantCommon Stock | 110,557 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-002665 · doc4a.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,457 F1 · shares: Includes 110,557 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 2018 Long Term Incentive Program as non-cash stock awards. Read SEC document |
| January 04, 2019 Filed Jan 7, 2019 23:09 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GrantEmployee Stock Option · Derivative | 232,461 | $0.00 Strike: $1.88 | $0.00 |
DisclosureSEC source: 0001209191-19-002618 · doc4.xml · derivative · entry 1 Cotton Stephen · CIK 0001649322 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,461 Underlying: Common Stock · 232,461 shares Expires 2021-01-04 F1 · shares: Represents Reporting Person's annual Short Term Incentive Program bonus for 2018. The Reporting Person has elected to receive payment in non-cash stock awards. Read SEC document |
| August 13, 2018 Filed Aug 13, 2018 23:08 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 6,400 | $2.49 | $15,967.36 |
DisclosureSEC source: 0001209191-18-046498 · doc4.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,900 F1 · price: The sales price reported in Column 4 of Table 1 represents the weighted average sales price of the shares sold within a range from $2.48 to $2.50 per share. Upon request by the Commission Staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. Read SEC document |
| June 18, 2018 Filed Jun 18, 2018 22:08 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | PurchaseCommon Stock | 30,000 | $2.85 | $85,500.00 |
DisclosureSEC source: 0001209191-18-038405 · doc4.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,500 Read SEC document |
| April 19, 2017 Filed Apr 20, 2017 23:09 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Stock | 4,415 | $17.26 | $76,205.11 |
DisclosureSEC source: 0001209191-17-027778 · doc4.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,291 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 21, 2017. F2 · price: The sales price reported in Column 4 of Table 1 represents the weighted average sales price of the shares sold within a range from $17.11 to $17.56 per share. Upon request by the Commission Staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. Read SEC document |
| March 22, 2017 Filed Mar 24, 2017 22:50 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | SaleCommon Stock | 4,415 | $17.84 | $78,759.19 |
DisclosureSEC source: 0001209191-17-022851 · doc4.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,706 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 21, 2017. F2 · price: The sales price reported in Column 4 of Table 1 represents the weighted average sales price of the shares sold within a range from $17.59 to $18.27 per share. Upon request by the Commission Staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 18:54 UTC | Aqua Metals, Inc. AQMS · Entity 7979 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-000069 · doc4.xml · nonDerivative · entry 1 Cotton Stephen · CIK 0001649322 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,121 F1 · kind: These shares were gifted to three relatives of the reporting person. 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.