الإحصائيات الأساسية
| LEI | 549300RYC8R46H1FXA06 |
| CIK | 1621832 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aqua Metals, Inc.
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 A |
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| August 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 13, 2025 AQUA METALS, INC. |
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| August 13, 2025 |
Exhibit 99.1 Aqua Metals Advances Commercialization of AquaRefining™ Technology with Industry-Leading Lithium Quality and Strategic Progress Company eliminates long-term debt, strengthens balance sheet, and extends cash runway through asset sales and cost-reduction initiatives RENO, Nev., August 13, 2025 — Aqua Metals, Inc. (NASDAQ: AQMS) (“Aqua Metals” or the “Company”), a pioneer in sustainable |
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| August 13, 2025 |
Certificate of Amendment to the First Amended and Restated Certificate of Incorporation Exhibit 3.6 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AQUA METALS, INC. Aqua Metals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify: 1. That the certificate of incorporation of the Corporation is hereby amended by changing the Article thereof numbe |
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| July 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 22, 2025 AQUA METALS, INC. |
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| July 14, 2025 |
Up to $2,258,108 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-267780 AMENDMENT NO. 1 DATED JULY 11, 2025 To Prospectus Supplements dated August 30, 2024 (To Prospectus dated October 19, 2022) Up to $2,258,108 Shares of Common Stock This Amendment No. 1 to Prospectus Supplement, or the Amendment, amends and supplements the information in our prospectus dated October 19, 2022, or the Base Prospect |
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| July 3, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 2, 2025 AQUA METALS, INC. |
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| June 23, 2025 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| June 17, 2025 |
AQUA METALS, INC. 2,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-287775 - s AQUA METALS, INC. 2,000,000 Shares of Common Stock This prospectus relates to the offer and sale from time to time of up to 2,000,000 shares of our common stock, par value $0.001 per share (“common stock”), by Lincoln Park Capital Fund, LLC (“Lincoln Park” or the “Selling Stockholder”). The shares included in this prospectu |
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| June 13, 2025 |
Amendment No. 1 to Third Amended and Restated Bylaws of Aqua Metals, Inc. Exhibit 3.2 AMENDMENT NO. 1 TO THIRD AMENDED AND RESTATED BYLAWS OF AQUA METALS, INC. Section 2.6 of the Third Amended and Restated Bylaws of Aqua Metals, Inc. is deleted in its entirety and replaced with the following: “SECTION 2.6. Quorum. Unless otherwise provided by law or the Corporation’s Certificate of Incorporation, one-third (33.33%) of the outstanding shares entitled to vote, present in |
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| June 13, 2025 |
-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2025 AQUA METALS, INC. |
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| June 10, 2025 |
June 10, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Sarah Sidwell Re: Aqua Metals, Inc. Registration Statement on Form S-1 File No. 333-287775 Acceleration Request Requested Date: Thursday, June 12, 2025 Requested Time: 4:30 p.m., Eastern Daylight Time Ladies and Gentlemen: In accordance with Rule 461 under |
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| June 10, 2025 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| June 4, 2025 |
As filed with the Securities and Exchange Commission on June 4, 2025 Table of Contents As filed with the Securities and Exchange Commission on June 4, 2025 Registration No. |
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| June 4, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Aqua Metals, Inc. |
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| May 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2025 AQUA METALS, INC. |
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| May 16, 2025 |
Exhibit 10.1 PURCHASE AGREEMENT PURCHASE AGREEMENT (the “Agreement”), dated as of May 15, 2025, by and between AQUA METALS, INC., a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”). WHEREAS: Subject to the terms and conditions set forth in this Agreement, the Company wishes to sell to the Investor, and the Investor wis |
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| May 16, 2025 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT (this "Agreement"), dated as of May 15, 2025, by and between AQUA METALS, INC., a Delaware corporation (the "Company"), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with its permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein shall have the res |
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| May 16, 2025 |
Exhibit 10.1 PURCHASE AND SALE AGREEMENT AND JOINT ESCROW INSTRUCTIONS This Purchase and Sale Agreement and Joint Escrow Instructions ("Agreement") is entered into as of May 11th, 2025 ("Effective Date") by and between Aqua Metals Waltham Holding LLC (“Seller”) and Trident Enterprises, Inc (“Buyer”). This Agreement constitutes an agreement between Purchaser and Seller and joint escrow instructions |
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| May 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 AQUA METALS, INC. |
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| May 16, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 12, 2025 AQUA METALS, INC. |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 AQUA METALS, INC. |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 8, 2025 AQUA METALS, INC. |
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| May 8, 2025 |
Exhibit 99.1 Aqua Metals Expands Product Platform with Advancements in Nickel, MHP, and LFP Recycling; Reports First Quarter 2025 Results RENO, Nev., May 8, 2025 — Aqua Metals (NASDAQ: AQMS), an innovator in domestic critical minerals refining, AquaRefining, today reported financial results for the first quarter ended March 31, 2025, and highlighted major technology and product development milesto |
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| May 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 AQUA METALS, INC. |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37515 Aqua Metals, Inc. (Exact name o |
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| March 31, 2025 |
Form of Common Stock Purchase Warrant issued to investors in December 2024 private placement Exhibit 4.9 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| March 31, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2025 AQUA METALS, INC. |
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| March 31, 2025 |
Aqua Metals Insider Trading Policy Exhibit 19.1 Statement of Policies on Trading In Securities Aqua Metals, Inc. has adopted several policies on trading in securities both of Aqua Metals, Inc. and of other corporations. These policies apply equally to employees, officers, directors and consultants of Aqua Metals, Inc. and of companies owned by Aqua Metals, Inc. (all of which are referred to collectively for convenience as “Aqua Met |
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| March 31, 2025 |
Exhibit 99.1 Aqua Metals Reports Milestone Advancements, Strategic Progress, and Sierra ARC Lithium Battery Recycling Campus Developments in 2024 Validated closed-loop battery recycling technology, built commercial partnerships, and revised economic model to better pursue funding and scale domestic battery mineral production RENO, Nev., March 31, 2025 – Aqua Metals, Inc. (NASDAQ: AQMS), a pioneer |
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| March 31, 2025 |
Form of Secured Promissory Note issued in December 2024 Private Placement Exhibit 10.10 [FORM OF SECURED NOTE] NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THESE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE R |
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| March 31, 2025 |
Exhibit 10.11 SECURITY AGREEMENT This SECURITY AGREEMENT (this “Agreement”), dated as of December 18, 2024, is made by and among Aqua Metals Reno, Inc., a Delaware corporation (the “Grantor”), and Judd Merrill, as the Collateral Agent, and the secured parties listed on the Schedule of Buyers to the Securities Purchase Agreement (as defined below) (collectively, the “Secured Parties” and each, indi |
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| February 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 3, 2025 AQUA METALS, INC. |
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| February 7, 2025 |
Exhibit 99.1 Aqua Metals Strengthens Board of Directors to Advance Sustainable Battery Recycling and Critical Minerals Production Industry Leader Steve Henderson and Finance Expert Eric Gangloff Bring Strategic Expertise to Support Growth RENO, Nev., February 6, 2025 – Aqua Metals, Inc. (NASDAQ: AQMS), a leader in clean metals recycling, today announced the appointment of Steve Henderson and Eric |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 18, 2024 AQUA METALS, INC. |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37 |
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| November 14, 2024 |
Exhibit 99.1 Aqua Metals Announces Progress on Long-Term Financing, Operational Achievements, and Ongoing Commercial Development, Reports Third Quarter 2024 Results Company Produces High-Purity, Battery-Grade Lithium Carbonate from Pilot Operations, Working to Advance Financing and Commercial Agreements RENO, Nev., November 14, 2024 – Aqua Metals, Inc. (NASDAQ: AQMS), a leader in sustainable lithi |
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| November 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2024 AQUA METALS, INC. |
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| November 1, 2024 |
Exhibit 99.1 Aqua Metals Announces Reverse Stock Split Common Stock Will Begin Trading on a Split-Adjusted Basis on November 5, 2024 RENO, Nevada, November 1, 2024 – Aqua Metals, Inc. (NASDAQ: AQMS), a pioneer in sustainable lithium battery recycling, today announced that it intends to effect a reverse stock split of its common stock at a ratio of 1 post-split share for every 20 pre-split shares. |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 -12-31 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 28, 2024 AQUA METALS, INC. |
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| November 1, 2024 |
Amendment to the Company’s First Amended and Restated Certificate of Incorporation. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AQUA METALS, INC. Aqua Metals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify: 1. That the certificate of incorporation of the Corporation is hereby amended by inserting the following at the end |
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| September 27, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by |
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| September 17, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by |
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| September 6, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 4, 2024 AQUA METALS, INC. |
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| August 30, 2024 |
Up to $30,000,000 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-267780 PROSPECTUS SUPPLEMENT (to the Prospectus dated October 19, 2022) Up to $30,000,000 Shares of Common Stock Aqua Metals, Inc. has entered into an ATM Sales Agreement, or the Sales Agreement, with The Benchmark Company, LLC relating to the sale of shares of our common stock, par value $0.001 per share, offered by |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 29, 2024 AQUA METALS, INC. |
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| August 30, 2024 |
Sales Agreement between the Company and The Benchmark Company, LLC Exhibit 1.1 AQUA METALS, INC. COMMON STOCK SALES AGREEMENT August 30, 2024 The Benchmark Company, LLC 150 E. 58th Street, 17th Floor New York, NY 10155 Ladies and Gentlemen: Aqua Metals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with The Benchmark Company, LLC (the “Sales Agent”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, fro |
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| August 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 21, 2024 AQUA METALS, INC. |
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| August 14, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Aqua Metals, Inc. |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 A |
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| August 14, 2024 |
As filed with the Securities and Exchange Commission on August 14, 2024 As filed with the Securities and Exchange Commission on August 14, 2024 Registration No. |
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| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 2, 2024 AQUA METALS, INC. |
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| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 5, 2024 AQUA METALS, INC. |
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| August 5, 2024 |
Exhibit 99.1 Aqua Metals Announces Continued Progress on Sierra ARC Buildout and Ongoing Efforts to Finance Remainder of Construction and Commissioning Company continues to pursue financing for Sierra ARC through commissioning, impacted by further dips in battery minerals pricing; Deploys cash preservation initiatives, and extends pilot operations to support continued strategic partner development |
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| May 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 23, 2024 AQUA METALS, INC. |
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| May 16, 2024 |
17,500,000 Shares of Common Stock 17,500,000 Warrants to Purchase up to Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-267780 PROSPECTUS SUPPLEMENT (To Prospectus dated October 19, 2022) 17,500,000 Shares of Common Stock 17,500,000 Warrants to Purchase up to Shares of Common Stock We are offering 17,500,000 shares of our common stock and 17,500,000 non-redeemable common stock purchase warrants, or the warrants, each warrant to purchase one sha |
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| May 15, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 15, 2024 AQUA METALS, INC. |
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| May 15, 2024 |
Form of Non-Redeemable Common Stock Purchase Warrant Exhibit 4.1 NON-REDEEMABLE COMMON STOCK PURCHASE WARRANT AQUA METALS, INC. Warrant Shares: Initial Exercise Date: , 2024 THIS NON-REDEEMABLE COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date h |
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| May 15, 2024 |
Underwriting Agreement dated as of May 14, 2024 between the Company and The Benchmark Company, LLC* Exhibit 1.1 AQUA METALS, INC. 17,500,000 SHARES OF COMMON STOCK AND 17,500,000 COMMON STOCK PURCHASE WARRANTS UNDERWRITING AGREEMENT May 14, 2024 The Benchmark Company, LLC 150 East 58th Street, 17th Floor New York, NY 10155 Ladies and Gentlemen: Aqua Metals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to |
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| May 15, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2024 AQUA METALS, INC. |
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| May 15, 2024 |
Exhibit 99.1 Aqua Metals Advances Circular Supply Chain Strategy with Sierra ARC Buildout, Commercial Partnerships, and $40M Capital Infusion, Reports First Quarter 2024 Results Commences $7M Equity Raise, Signs $33M Non-binding Loan Term Sheet with One of the Worlds’ Largest Private Companies, Initiates Strategic Offtake Agreement with 6K Energy RENO, Nev., May 15, 2024 – Aqua Metals, Inc. (NASDA |
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| May 15, 2024 |
Aqua Metals Announces Proposed Public Offering Exhibit 99.1 Aqua Metals Announces Proposed Public Offering Reno, Nevada – May 14, 2024 – (GLOBE NEWSWIRE) - Aqua Metals, Inc. (Nasdaq: AQMS) (“Aqua Metals” or the “Company”), a pioneer in sustainable lithium-ion battery recycling, today announced that it is offering to sell shares of its common stock and warrants to purchase common stock in an underwritten public offering. All of the securities i |
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| May 15, 2024 |
Form of Warrant Agency Agreement to be entered into between the Company and VStock Transfer, LLC Exhibit 4.2 AQUA METALS, INC. and VSTOCK TRANSFER, LLC, as Warrant Agent Warrant Agency Agreement Dated as of May [], 2024 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of May [], 2024 (“Agreement”), by and between Aqua Metals, Inc., a Delaware corporation (the “Company”), and VStock Transfer, LLC, a New York limited liability trust company (“VStock” or the “Warrant Agent”). W I T N |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 |
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| May 15, 2024 |
Form of Underwriter Warrant to be issued to the Benchmark Company, LLC Exhibit 4.3 THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING MAY 14, 2024 (THE “EFFECT |
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| May 15, 2024 |
Exhibit 99.2 Aqua Metals Prices $7 Million Public Offering of Common Stock and Warrants Funds Raised in Support of a $33 Million Term Sheet with One of the World’s Largest Privately Held Companies RENO, Nev., May 15, 2024 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (Nasdaq: AQMS) (“Aqua Metals” or the “Company”), a pioneer in sustainable lithium-ion battery recycling, today announced that it priced its p |
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| May 14, 2024 |
Subject to completion, dated May 14, 2024 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-267780 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement related to these securities has been declared effective by the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these s |
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| April 16, 2024 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| April 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 4, 2024 AQUA METALS, INC. |
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| April 4, 2024 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| March 28, 2024 |
Warrant dated July 21, 2023 issued to The Benchmark Company, LLC Exhibit 4.4 UNDERWRITER WARRANT AGREEMENT THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLO |
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| March 28, 2024 |
Aqua Metals Executive Officer Clawback Policy Exhibit 99.1 AQUA METALS, INC. Executive Officer Clawback Policy Approved by the Board of Directors on November 9, 2023 (the “Adoption Date”) I. Purpose This Executive Officer Clawback Policy describes the circumstances under which Covered Persons of Aqua Metals, Inc., a Delaware corporation and any of its direct or indirect subsidiaries (the “Company”) will be required to repay or return Erroneou |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37515 Aqua Metals, Inc. (Exact name o |
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| March 28, 2024 |
Exhibit 10.14 AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT is entered into effective as of August 7, 2023 between AQUA METALS, INC., a Delaware corporation (“Company”) and David McMurtry (“Employee”) (collectively, the “Parties,” and individually, a “Party”), and constitutes an amendment and restatement to that certain Executive Emplo |
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| March 28, 2024 |
Exhibit 10.13 AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT is entered into effective as of August 7, 2023 between AQUA METALS, INC., a Delaware corporation (“Company”) and Benjamin Taecker (“Employee”) (collectively, the “Parties,” and individually, a “Party”), and constitutes an amendment and restatement to that certain Executive Emp |
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| March 28, 2024 |
Loan Agreement dated January 27, 2023 with Summit Investment Services, LLC Exhibit 10.3 LOAN AGREEMENT THIS LOAN AGREEMENT (this "Agreement") is entered into to be effective as of January 27, 2023, by and between SUMMIT INVESTMENT SERVICES, LLC, a Nevada limited liability company ("Lender") and AQUA METALS RENO, INC., a Delaware corporation ("Borrower"). RECITALS Borrower has requested that Lender extend credit to Borrower as described below, and Lender has agreed to pro |
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| March 28, 2024 |
Exhibit 10.12 AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT is entered into effective as of August 7, 2023 between AQUA METALS, INC., a Delaware corporation (“Company”) and Judd Merrill (“Employee”) (collectively, the “Parties,” and individually, a “Party”), and constitutes an amendment and restatement to that certain Executive Employm |
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| March 28, 2024 |
Exhibit 10.11 AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT is entered into effective as of August 7, 2023 between AQUA METALS, INC., a Delaware corporation (“Company”) and Stephen Cotton (“Employee”) (collectively, the “Parties,” and individually, a “Party”), and constitutes an amendment and restatement to that certain Executive Emplo |
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| March 28, 2024 |
List of subsidiaries of Registrant. Exhibit 21.1 The following are the wholly-owned subsidiaries of Aqua Metals, Inc.: Aqua Metals Reno, Inc., a Delaware Corporation Aqua Metals Operations, Inc., a Delaware Corporation Aqua Metals Waltham 1, LLC, a Nevada limited liability company Aqua Metals Waltham Holding, LLC, a Nevada limited liability company |
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| March 28, 2024 |
Warrant dated August 4, 2023 issued to Network 1 Financial Services, Inc. Exhibit 4.3 NEITHER THESE SECURITIES NOR THE SECURITIES ISSUABLE UPON EXERCISE OF THESE SECURITIES HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) AND APPLICABLE STATE SECURITIES LAWS AND, ACCORDINGLY, MAY NOT BE OFFERED OR S |
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| March 27, 2024 |
Exhibit 99.1 Aqua Metals Advances Sierra-ARC Lithium Battery Recycling Campus and Secures Offtake Partnership; Reports Full-Year 2023 Financial Results RENO, Nev., March 27, 2024 – Aqua Metals, Inc. (NASDAQ: AQMS), a pioneer in sustainable lithium-ion battery recycling, today reported financial results for the full-year ended December 31, 2023. Full-Year 2023 Financial and Recent Operational Highl |
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| March 27, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 27, 2024 AQUA METALS, INC. |
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| February 12, 2024 |
SC 13G/A 1 rwbciami-sc13ga.htm AMENDED SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP 12-31-23 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aqua Metals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03837J101 (CUSIP Number) December 31, 2023 (Date of Event Which R |
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| November 24, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 24, 2023 AQUA METALS, INC. |
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| November 8, 2023 |
Exhibit 99.1 Aqua Metals Strengthens Balance Sheet and Secures Strategic Investment and Partnerships During Third Quarter of 2023 Receives recognition for sustainability innovation and partnership validation of lithium battery recycling solution RENO, Nev., November 8, 2023 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) (“Aqua Metals" or the "Company”), a pioneer in sustainable lithium batter |
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| November 8, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 8, 2023 AQUA METALS, INC. |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37 |
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| September 29, 2023 |
Letter from Armanino LLP, Dated September 29, 2023 Exhibit 16.1 September 29, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Commissioners: We have read Item 4.01 of the Current Report on Form 8-K of Aqua Metals, Inc. dated September 29, 2023, which we understand will be filed with the Securities and Exchange Commission, and we agree with the statements concerning our firm contained in such Form 8-K. We have no b |
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| September 29, 2023 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 29, 2023 AQUA METALS, INC. |
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| September 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 14, 2023 AQUA METALS, INC. |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2023 AQUA METALS, INC. |
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| August 9, 2023 |
Exhibit 99.1 Aqua Metals Completes Industry-First Pilot Plant, Advances Commerical-Scale Operations, Strengthens Balance Sheet During Second Quarter of 2023 Company producing high-purity, salable quantities of critical battery materials and metals, to generate revenue this year RENO, Nev., August 9, 2023 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) (“Aqua Metals" or the "Company”), a pionee |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 A |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 9, 2023 AQUA METALS, INC. |
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| July 28, 2023 |
Letter from Armanino LLP, Dated July 27, 2023 Exhibit 16.1 July 27, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Commissioners: We have read Item 4.01 of the Current Report on Form 8-K of Aqua Metals, Inc. dated July 24, 2023, which we understand will be filed with the Securities and Exchange Commission, and we agree with the statements concerning our firm contained in such Form 8-K. We have no basis to ag |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 24, 2023 AQUA METALS, INC. |
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| July 21, 2023 |
4,545,455 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-267780 PROSPECTUS SUPPLEMENT (to the Prospectus dated October 19, 2022) 4,545,455 Shares of Common Stock Pursuant to this prospectus supplement and the accompanying base prospectus, we are issuing 4,545,455 shares of our common stock to Yulho Co., Ltd. pursuant to a securities purchase agreements dated July 18, 2023 between us |
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| July 21, 2023 |
Securities Purchase Agreement dated as of July 18, 2023 between the Company and Yulho Co., Ltd Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of July 18, 2023 by and between Aqua Metals, Inc., a Delaware corporation (the “Company”), and Yulho Co., Ltd., a company organized under the laws of the Republic of Korea (the “Purchaser”). The above parties are referred to herein together as the “Parties,” and individually as a “Party.” R |
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| July 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 18, 2023 AQUA METALS, INC. |
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| July 20, 2023 |
15,820,000 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-267780 PROSPECTUS SUPPLEMENT (to the Prospectus dated October 19, 2022) 15,820,000 Shares of Common Stock We are selling 15,820,000 shares of our common stock. Our common stock is listed on the NASDAQ Capital Market under the symbol “AQMS.” On July 17, 2023, the last reported sales price of our common stock on the NASDAQ Capit |
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| July 19, 2023 |
Underwriting Agreement dated as of July 18, 2023 between the Company and The Benchmark Company, LLC Exhibit 1.1 AQUA METALS, INC. 15,820,000 SHARES OF COMMON STOCK UNDERWRITING AGREEMENT July 18, 2023 The Benchmark Company, LLC 150 East 58th Street, 17th Floor New York, NY 10155 Ladies and Gentlemen: Aqua Metals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to issue and sell to The Benchmark Company, LLC |
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| July 19, 2023 |
Exhibit 99.1 July 18, 2023 Aqua Metals Announces Proposed Public Offering of Common Stock RENO, Nevada, July 18, 2023 (GLOBE NEWSWIRE) – Aqua Metals, Inc. (Nasdaq: AQMS) (“Aqua Metals” or the “Company”), a pioneer in sustainable lithium-ion battery recycling, today announced that it intends to offer and sell shares of its common stock in an underwritten public offering. All of the shares of common |
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| July 19, 2023 |
Exhibit 99.2 July 19, 2023 Aqua Metals Prices $17.4 Million Public Offering of Common Stock RENO, Nevada, July 19, 2023 (GLOBE NEWSWIRE) – Aqua Metals, Inc. (Nasdaq: AQMS) (“Aqua Metals” or the “Company”), a pioneer in sustainable lithium-ion battery recycling, today announced that it has priced its underwritten public offering of 15,820,000 shares of its common stock at a public offering price of |
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| July 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 18, 2023 AQUA METALS, INC. |
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| July 18, 2023 |
SUBJECT TO COMPLETION, DATED JULY 18, 2023 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-267780 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying base prospectus are not an offe |
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| July 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 5, 2023 AQUA METALS, INC. |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 15, 2023 AQUA METALS, INC. |
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| May 19, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 11, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 4, 2023 |
Exhibit 99.1 Aqua Metals Produces High-Value Minerals at Pilot Plant, Secures Site to Expand Commercial Operations, During First Quarter of 2023 Achievements in low-carbon battery materials by Aqua Metals propel partnership with cathode manufacturer 6K Energy RENO, Nev., May 4, 2023 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) (“Aqua Metals" or the "Company”), a pioneer in sustainable lithi |
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| May 4, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 4, 2023 AQUA METALS, INC. |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 |
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| April 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 26, 2023 AQUA METALS, INC. |
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| April 5, 2023 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| April 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2023 AQUA METALS, INC. |
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| March 21, 2023 |
PRE 14A 1 aqms20230304pre14a.htm FORM PRE 14A Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Com |
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| March 9, 2023 |
Employment Agreement dated August 9, 2021 between the Registrant and Dave McMurtry Exhibit 10.8 AQUA METALS, INC. EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT is entered into on August 9, 2021, to be effective on August 1, 2021 (“Effective Date”) between AQUA METALS, INC., a Delaware corporation (“Company”), and Benjamin Tarcker (“Employee”). 1. EMPLOYMENT. Company hereby employs Employee in accordance with the terms of this Agreement and all the policies a |
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| March 9, 2023 |
List of subsidiaries of Registrant. Exhibit 21.1 The following are the wholly-owned subsidiaries of Aqua Metals, Inc.: Aqua Metals Reno, Inc., a Delaware Corporation Aqua Metals Operations, Inc., a Delaware Corporation |
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| March 9, 2023 |
Employment Agreement dated August 9, 2021 between the Registrant and Benjamin Taecker Exhibit 10.7 AQUA METALS, INC. EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT is entered into on July 22, 2022, to be effective on July 22, 2022 (“Effective Date”) between AQUA METALS, INC., a Delaware corporation (“Company”), and Dave McMurtry (“Employee”). 1. EMPLOYMENT. Company hereby employs Employee in accordance with the terms of this Agreement and all the policies and pr |
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| March 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 9, 2023 AQUA METALS, INC. |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37515 Aqua Metals, Inc. (Exact name o |
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| March 9, 2023 |
Loan Agreement dated September 30, 2022 with Summit Investment Services, LLC Exhibit 10.10 LOAN AGREEMENT THIS LOAN AGREEMENT (this "Agreement") is entered into to be effective as of September 29, 2022, by and between SUMMIT INVESTMENT SERVICES, LLC, a Nevada limited liability company as to an undivided 90.8334% interest, DARREN MCBRIDE, TRUSTEE OF THE ARDUINO 1 TRUST, U/A DATED APRIL 25, 2022, as to an undivided 8.3333% interest and JASON YELOWITZ, TRUSTEE OF THE JASON YE |
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| March 9, 2023 |
Exhibit 99.1 Aqua Metals Reports 2022 Financial Results Commissioning of Lithium Pilot Plant in Reno, Securing of Future Commercial Site, Drive Optimism for 2023 and Beyond RENO, Nev., March 9, 2023 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) (“Aqua Metals" or the "Company”), which is reinventing metals recycling with its AquaRefining™ technology, today announced financial results and prov |
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| February 15, 2023 |
AQMS / Aqua Metals Inc / Cushner Alex Scott - SC 13G Passive Investment SC 13G 1 d370126dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Aqua Metals, Inc. Title of Class of Securities: Common Stock CUSIP Number: 03837J101 Date of Event Which Requires Filing of this Statement: December 31, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Aqua Metals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03837J101 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 1, 2023 AQUA METALS, INC. |
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| January 17, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2023 AQUA METALS, INC. |
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| December 19, 2022 |
Aqua Metals, Inc. 2022 Employee Stock Purchase Plan Exhibit 99.1 AQUA METALS, INC. 2022 EMPLOYEE STOCK PURCHASE PLAN ARTICLE I PURPOSE The purposes of this Aqua Metals, Inc. 2022 Employee Stock Purchase Plan (the “Plan”) are to assist Eligible Employees of Aqua Metals, Inc., a Delaware corporation (the “Company”) and its Subsidiaries in acquiring a stock ownership interest in the Company pursuant to a plan which is intended to help Eligible Employe |
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| December 19, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Aqua Metals, Inc. |
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| December 19, 2022 |
As filed with the Securities and Exchange Commission on December 19, 2022 As filed with the Securities and Exchange Commission on December 19, 2022 Registration No. |
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| November 3, 2022 |
Exhibit 99.1 Aqua Metals Reports Strengthened Balance Sheet, Continued Operational Progress, During Third Quarter of 2022 Lithium Pilot Plant in Reno and Lead Refining in Taiwan Continue On Schedule Reno, Nev., November 3, 2022 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) (?Aqua Metals" or the "Company?), which is reinventing metals recycling with its AquaRefining? technology, today announc |
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| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37 |
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| November 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 3, 2022 AQUA METALS, INC. |
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| October 17, 2022 |
CORRESP 1 filename1.htm October 17, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Thomas Jones Re: Aqua Metals, Inc. Registration Statement on Form S-3 File No. 333-267780 Acceleration Request Requested Date: Wednesday, October 19, 2022 Requested Time: 4:30 p.m., Eastern Time Ladies and Gentlemen: In accordanc |
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| October 7, 2022 |
Exhibit 4.3 Form of Senior Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE OF THE |
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| October 7, 2022 |
Form of Subordinated Indenture Exhibit 4.2 AQUA METALS, INC. and Trustee INDENTURE Dated as of SUBORDINATED DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 314(b) Ina |
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| October 7, 2022 |
Exhibit 4.1 AQUA METALS, INC. and Trustee INDENTURE Dated as of SENIOR DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 314(b) Inapplica |
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| October 7, 2022 |
EX-FILING FEES 8 ex430022.htm EXHIBIT FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Aqua Metals, Inc.. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (a) Proposed Maximum Offering Price Per Unit Maximum Aggregate O |
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| October 7, 2022 |
As filed with the Securities and Exchange Commission on October 7, 2022 Table of Contents As filed with the Securities and Exchange Commission on October 7, 2022 Registration No. |
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| October 7, 2022 |
Exhibit 4.4 Form of Subordinated Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANOTHER NOMINEE |
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| October 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2022 AQUA METALS, INC. |
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| September 1, 2022 |
As filed with the Securities and Exchange Commission on September 1, 2022 As filed with the Securities and Exchange Commission on September 1, 2022 Registration No. |
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| August 24, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Aqua Metals, Inc. |
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| August 24, 2022 |
As filed with the Securities and Exchange Commission on August 24, 2022 Registration No. |
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| August 5, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 2, 2022 AQUA METALS, INC. |
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| August 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 1, 2022 Aqua Metals, Inc. |
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| August 1, 2022 |
Exhibit 99.1 Aqua Metals Appoints David Kanen to Board of Directors Experienced Investor Joins Board With a Long-term View to Support Value Creation Reno, Nev., July 28, 2022 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) (?Aqua Metals" or the "Company?), which is reinventing metals recycling with its AquaRefining? technology, today announced that it has named David Kanen, an experienced inve |
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| July 28, 2022 |
Exhibit 99.1 July 27, 2022 Aqua Metals Appoints Dave McMurtry as Chief Business Officer McMurtry Brings Decades of Successful Business Plan Execution and Value Creation for Entrepreneurial and Large Organizations RENO, Nev., July 27, 2022 (GLOBE NEWSWIRE) - Aqua Metals, Inc. (NASDAQ: AQMS) ("Aqua Metals" or the "Company"), an innovator in metals recycling with its AquaRefining? technology, has app |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 22, 2022 AQUA METALS, INC. |
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| July 21, 2022 |
Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Advances Key Strategic Initiatives During Second Quarter 2022 Company remains on plan to for revenue generation in 2023 Second Quarter and Recent Highlights: ? Aqua Metals has successfully recovered all the high-value metals from used lithium-ion batteries, |
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| July 21, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 21, 2022 AQUA METALS, INC. |
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| July 21, 2022 |
Certificate of Amendment to the First Amended and Restated Certificate of Incorporation Exhibit 3.5 CERTIFICATE OF AMENDMENT TO THE FIRST AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AQUA METALS, INC. Aqua Metals, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?Corporation?), does hereby certify: 1. That at a meeting of the Board of Directors of Aqua Metals, Inc., resolutions were duly adopted settin |
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| July 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 A |
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| June 13, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 7, 2022 AQUA METALS, INC. |
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| May 16, 2022 |
DEFA14A 1 aqms20220516defa14a.htm FORM DEFA14A United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| April 28, 2022 |
Aqua Metals Announces First Quarter 2022 Results Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces First Quarter 2022 Results First Quarter and Recent Highlights: ? Continued AquaRefining equipment shipments to first Asia Pacific partner, ACME Metal. Sourced in-country equipment. All remaining equipment needed for phase one implementation shippi |
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| April 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 28, 2022 AQUA METALS, INC. |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 |
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| April 25, 2022 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| April 13, 2022 |
Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2) |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 24, 2022 AQUA METALS, INC. |
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| February 24, 2022 |
Aqua Metals Announces 2021 Results Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces 2021 Results Recent Highlights: ? Signed a definitive agreement with ACME Metal Enterprise Co., Ltd. (ACME) to deploy and license AquaRefining equipment and technologies at its facility in Keelung, Taiwan. ? Commenced AquaRefining equipment shipmen |
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| February 24, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 24, 2022 AQUA METALS, INC. |
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| February 24, 2022 |
List of subsidiaries of Registrant. Exhibit 21.1 The following are the wholly-owned subsidiaries of Aqua Metals, Inc.: Aqua Metals Reno, Inc., a Delaware Corporation Aqua Metals Operations, Inc., a Delaware Corporation |
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| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37515 Aqua Metals, Inc. (Exact name o |
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| January 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 19, 2022 AQUA METALS, INC. |
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| January 21, 2022 |
Third Amended and Restated Bylaws of the Registrant Exhibit 3.1 THIRD AMENDED AND RESTATED BYLAWS OF AQUA METALS, INC., A DELAWARE CORPORATION Adopted on January 19, 2022 TABLE OF CONTENTS Page Article I IDENTIFICATION; OFFICES 1 SECTION 1.1. Name 1 SECTION 1.2. Principal Office; Other Offices 1 Article II STOCKHOLDERS 1 SECTION 2.1. Annual Meeting 1 SECTION 2.2. Special Meeting 1 SECTION 2.3. Place of Stockholder Meetings 1 SECTION 2.4. Notice of |
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| November 4, 2021 |
Aqua Metals Announces Third Quarter 2021 Results Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces Third Quarter 2021 Results Third Quarter and Recent Highlights: ? Established Aqua Metals Innovation Center for development of lithium-ion battery recycling solution utilizing proven AquaRefining technology ? Completed third generation Aqualyzer; a |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37 |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 4, 2021 AQUA METALS, INC. |
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| October 27, 2021 |
Corporate Presentation dated October 27, 2021 Exhibit 99.1 |
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| October 27, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 27, 2021 AQUA METALS, INC. |
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| September 24, 2021 |
Termination of a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 20, 2021 AQUA METALS, INC. |
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| September 17, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2021 AQUA METALS, INC. |
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| August 30, 2021 |
IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF DELAWARE IN RE AQUA METALS, INC. STOCKHOLDER DERIVATIVE LITIGATION Master File No.: 1:18-cv-00201-LPS STIPULATION OF SETTLEMENT This Stipulation of Settlement, dated August 18, 2021 (the ?Stipulation? or the ?Settlement?), is made and entered into by and among the following Settling Parties, by and through their respective counse |
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| August 30, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 30, 2021 AQUA METALS, INC. |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2021 AQUA METALS, INC. |
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| July 29, 2021 |
Exhibit 10.1 THIRD AMENDMENT TO EQUIPMENT SUPPLY AGREEMENT THIS THIRD AMENDMENT TO EQUIPMENT SUPPLY AGREEMENT (this "Amendment"), dated as of June 30, 2021, is made by and between Clarios, LLC, a Wisconsin limited liability company formerly known as Johnson Controls Battery Group, Inc. ("Customer"), and Aqua Metals, Inc., a Delaware corporation ("Supplier"). Capitalized terms used and not otherwis |
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| July 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 A |
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| July 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 29, 2021 AQUA METALS, INC. |
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| July 29, 2021 |
Aqua Metals Announces Second Quarter 2021 Results Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces Second Quarter 2021 Results Second Quarter and Recent Highlights: ? Finalized definitive agreement to deploy and license AquaRefining technology in Taiwan to ACME Metal Enterprise Co. and proceed with first deployment ? Secured key new AquaRefining |
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| May 14, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2021 AQUA METALS, INC. |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 |
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| April 29, 2021 |
Aqua Metals Announces First Quarter 2021 Results Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces First Quarter 2021 Results First Quarter and Recent Highlights: ? Advanced discussions with several potential license and equipment supply partners ? Received first insurance payment of $1.4 million toward the business interruption claim, bringing |
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| April 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2021 AQUA METALS, INC. |
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| April 9, 2021 |
DEF 14A 1 aqms20210406def14a.htm FORM DEF 14A Table of Contents United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Com |
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| March 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 1, 2021 AQUA METALS, INC. |
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| February 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37515 Aqua Metals, Inc. (Exact name o |
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| February 25, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 25, 2021 AQUA METALS, INC. |
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| February 25, 2021 |
Exhibit 4.10 DESCRIPTION OF CAPITAL STOCK Aqua Metals, Inc. (?Company?, ?we?, ?us? and ?our?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, namely our common stock, par value $0.001 per share. The following is a summary of the rights of our common and of certain provisions of our First Amended and Restated Certificate of Incorporation, |
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| February 25, 2021 |
Aqua Metals Announces 2020 Results Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces 2020 Results Recent Highlights: ● Completed V1.25L Aqualyzer program; achieved a 100% improvement in lead production throughput, in addition to improved equipment and operating costs ● Continued progress with potential licensing partners; ongoing d |
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| February 25, 2021 |
List of subsidiaries of Registrant. Exhibit 21.1 The following are the wholly-owned subsidiaries of Aqua Metals, Inc.: Aqua Metals Reno, Inc., a Delaware Corporation Aqua Metals Operations, Inc., a Delaware Corporation |
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| February 19, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 19, 2021 AQUA METALS, INC. |
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| February 19, 2021 |
Up to $30,000,000 Shares of Common Stock 424B5 1 aqms20210218424b5.htm FORM 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-235238 PROSPECTUS SUPPLEMENT (to the Prospectus dated December 2, 2019) Up to $30,000,000 Shares of Common Stock Aqua Metals, Inc. has entered into an At the Market Issuance Sales Agreement, or the Sales Agreement, with B. Riley Securities, Inc., formerly known as B. Riley FBR |
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| February 17, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 15, 2021 AQUA METALS, INC. |
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| February 17, 2021 |
Exhibit 10.2 SERIES A PREFERRED STOCK PURCHASE AGREEMENT THIS SERIES A PREFERRED STOCK PURCHASE AGREEMENT (this ?Agreement?), is made as of is made as of February 15, 2021, by and among LINICO Corporation, a Nevada corporation (the ?Company?) Comstock Mining Inc., a Nevada corporation (?CMI?), and Aqua Metals, Inc., a Delaware corporation (?AQMS? together with CMI each a ?Investor? and together th |
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| February 17, 2021 |
424B5 1 aqms20210215424b5.htm FORM 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-235238 PROSPECTUS SUPPLEMENT (to the Prospectus dated December 2, 2019) 375,000 Shares Common Stock Pursuant to this prospectus supplement and the accompanying base prospectus, we are issuing 375,000 shares of our common stock to a strategic partner pursuant to a stock purchas |
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| February 17, 2021 |
Voting Agreement dated February 15, 2021 between Aqua Metals, Inc. and LINICO Corporation Exhibit 10.4 VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?) is made and entered into as of February 15, 2021, by and among LINICO Corporation, a Nevada corporation (the ?Company?), each holder of the Series A Preferred Stock, $0.001 par value per share, of the Company (?Series A Preferred Stock?), listed on Schedule A (together with any subsequent investors, or transferees, who become p |
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| February 17, 2021 |
Investor Rights Agreement dated February 15, 2021 between Aqua Metals, Inc. and LINICO Corporation Exhibit 10.3 INVESTORS? RIGHTS AGREEMENT THIS INVESTORS? RIGHTS AGREEMENT (this ?Agreement?), is made as of February 15, 2021, by and among LINICO Corporation, a Nevada corporation (the ?Company?), and each of the investors listed on Schedule A hereto, each of which is referred to in this Agreement as an ?Investor.? RECITALS WHEREAS, the Company and the Investors are parties to that certain Series |
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| February 17, 2021 |
Exhibit 10.1 INDUSTRIAL LEASE (SINGLE TENANT) BETWEEN AQUA METALS RENO INC. (Landlord) AND LINICO CORPORATION (Tenant) Premises: 2500 Peru Drive, McCarran, Nevada 89434 Date: February 15, 2021 THIS LEASE DATED as of February 15, 2021 BY AND BETWEEN: Aqua Metals Reno Inc., a Delaware corporation (hereinafter called the ?Landlord?) - and - Linico Corporation, a Nevada corporation (hereinafter called |
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| January 25, 2021 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. |
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| January 25, 2021 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated 01/25/2021 (including amendments thereto) with respect to the Common Stock of Famous Dave’s of America, Inc. This Joint Filing Agreement shall be filed as |
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| January 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Aqua Metals, Inc. (Name of Issuer) COMMON STOCK, PAR VALUE $0.001 PER SHARE (Title of Class of Securities) 03837J101 (CUSIP Number) Kelvin F. Sellers Interstate Emerging Investments, LLC Interstate Batteries, Inc. 12770 Merit Drive, Suite 1000 Dallas, Te |
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| October 22, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37 |
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| October 22, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 22, 2020 AQUA METALS, INC. |
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| October 22, 2020 |
Aqua Metals Announces Third Quarter 2020 Results Company Also Receives Additional Insurance Proceeds EX-99.1 2 ex203023.htm EXHIBIT 99.1 Exhibit 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces Third Quarter 2020 Results Company Also Receives Additional Insurance Proceeds Recent Highlights: • Received additional insurance payment of $0.7 million on October 20, bringing total collected to $22.6 million; |
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| October 21, 2020 |
AQMS / Aqua Metals, Inc. / Philotimo Fund, LP - SCHEDULE 13G Passive Investment SC 13G 1 ea128652-13gphiloaqua.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. )1 Aqua Metals, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 0383 |
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| October 21, 2020 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated October 21th,2020 (including amendments thereto) with respect to the Common Stock of Famous Dave’s of America, Inc. This Joint Filing Agreement shall be fi |
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| October 8, 2020 |
AQMS / Aqua Metals, Inc. / Philotimo Fund, LP - AMENDMENT NO. 14 TO SCHEDULE 13D Activist Investment SC 13D/A 1 ea127963-sc13da14philoaqua.htm AMENDMENT NO. 14 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 14)1 Aqua Metals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Cla |
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| August 18, 2020 |
S-8 1 forms-8.htm As filed with the Securities and Exchange Commission on August 18, 2020 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aqua Metals, Inc. (Exact name of registrant as specified in its charter) Delaware 47-1169572 (State or other jurisdiction of incorporation or organization) |
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| August 7, 2020 |
AQMS / Aqua Metals, Inc. / Philotimo Fund, LP - AMENDMENT NO.13 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| August 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 4, 2020 AQUA METALS, INC. |
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| August 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 Aqua Metals, Inc. ( |
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| August 4, 2020 |
Aqua Metals Announces Second Quarter 2020 Results NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. |
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| July 21, 2020 |
8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 20, 2020 AQUA METALS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-37515 47-1169572 (State or Other Jurisdiction of Incorporation) (Co |
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| July 1, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 aqms8kq22020nasdaqlett.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 30, 2020 AQUA METALS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-37515 47-1169572 (State or Other Jurisdiction of |
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| June 5, 2020 |
At The Market Issuance Sales Agreement between B. Riley FBR, Inc. and Aqua Metals, Inc. EX-1.1 2 ex1-1.htm Exhibit 1.1 AQUA METALS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement June 5, 2020 B. Riley FBR, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: Aqua Metals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with B. Riley FBR, Inc. (the “Agent”) as follows: 1. Issuance and Sale o |
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| June 5, 2020 |
Up to $10,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-235238 PROSPECTUS SUPPLEMENT (to the Prospectus dated December 2, 2019) Up to $10,000,000 Shares of Common Stock Aqua Metals, Inc. has entered into an At the Market Issuance Sales Agreement, or the Sales Agreement, with B. Riley FBR, Inc., or B. Riley FBR, relating to the sale of shares of our common stock, par value $0.001 per share, |
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| June 5, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 5, 2020 AQUA METALS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-37515 47-1169572 (State or Other Jurisdiction of Incorporation) (Com |
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| May 20, 2020 |
AQMS / Aqua Metals, Inc. / Philotimo Fund, LP - AMENDMENT NO.12 TO SCHEDULE 13D Activist Investment SC 13D/A 1 ea122175-sc13da12philoaqua.htm AMENDMENT NO.12 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 12)1 Aqua Metals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Clas |
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| May 20, 2020 |
8-K 1 aqms8k2020annualmeetin.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 19, 2020 AQUA METALS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-37515 47-1169572 (State or Other Jurisdiction of |
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| May 7, 2020 |
AQMS / Aqua Metals, Inc. / Philotimo Fund, LP - AMENDMENT NO. 11 TO SCHEDULE 13D Activist Investment SC 13D/A 1 ea121495-sc13da11philoaqua.htm AMENDMENT NO. 11 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 11)1 Aqua Metals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Cla |
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| May 6, 2020 |
AQMS / Aqua Metals, Inc. / Philotimo Fund, LP - AMENDMENT NO. 10 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. |
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| April 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number: 001-37515 Aqua Metals, Inc. |
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| April 30, 2020 |
Aqua Metals Announces First Quarter 2020 Results NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. |
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| April 30, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 30, 2020 AQUA METALS, INC. |
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| April 20, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 17, 2020 AQUA METALS, INC. |
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| April 16, 2020 |
DEF 14A 1 aqms2020proxy.htm DEF 14A United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as per |
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| April 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 13, 2020 AQUA METALS, INC. |
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| April 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 3, 2020 AQUA METALS, INC. |
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| March 30, 2020 |
Memorandum of Agreement dated March 25, 2020 between Aqua Metals, Inc. and Veritex Community Bank. a101aqms-memorandumofagr MEMORANDUM OF AGREEMENT This Memorandum of Agreement (“ Agreement”) is hereby entered into by and between Aqua Metals Reno, Inc. |
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| March 30, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 25, 2020 AQUA METALS, INC. |
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| March 11, 2020 |
aqmscorppres031120final Corporate Presentation March 11, 2020 Leading a Revolution In the Lead Acid Battery Industry Safe Harbor This document contains forward-looking statements concerning Aqua Metals, Inc. |
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| March 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 11, 2020 AQUA METALS, INC. |
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| March 11, 2020 |
Aqua Metals Announces 2019 Results NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. |
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| March 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37515 Aqua Metals, Inc. (Exact name o |
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| January 22, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 aqms8kq12020nasdaqlett.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 15, 2020 AQUA METALS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-37515 47-1169572 (State or Other Jurisdiction |
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| December 2, 2019 |
EX-99.1 2 ex99-1.htm NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Suffers Significant Fire Damage Management is Currently Reviewing Available Insurance Coverage for Plant/Equipment Damage and Business Interruption Losses in Effort to Fund Recovery MCCARRAN, NV., December 2, 2019 (GLOBE NEWSWIRE) — Aqua Metals, Inc. |
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| December 2, 2019 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 29, 2019 AQUA METALS, INC. |
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| November 27, 2019 |
AQMS / Aqua Metals, Inc. CORRESP - - CORRESP 1 filename1.htm November 27, 2019 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Thomas Jones Re: Aqua Metals, Inc. Registration Statement on Form S-3 File No. 333-235238 Acceleration Request Requested Date: Monday, December 2, 2019 Requested Time: 4:30 p.m., Eastern Daylight Time Ladies and Gentlemen: In ac |
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| November 22, 2019 |
EX-4.3 5 ex4-3.htm Exhibit 4.3 Form of Senior Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY OR ANO |
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| November 22, 2019 |
Exhibit 4.1 AQUA METALS, INC. and Trustee INDENTURE Dated as of SENIOR DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 314(b) Inapplica |
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| November 22, 2019 |
EX-4.4 6 ex4-4.htm Exhibit 4.4 Form of Subordinated Note (FACE OF SECURITY) [Each Global Security shall bear substantially the following legend: UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN DEFINITIVE REGISTERED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITARY TO A NOMINEE OF THE DEPOSITARY OR BY A NOMINEE OF THE DEPOSITARY TO THE DEPOSITARY |
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| November 22, 2019 |
Form of Subordinated Indenture Exhibit 4.2 AQUA METALS, INC. and Trustee INDENTURE Dated as of SUBORDINATED DEBT SECURITIES CROSS-REFERENCE TABLE(1) Section of Trust Indenture Act of 1939, as amended Section of Indenture 310(a) 6.09 310(b) 6.08 6.10 310(c) Inapplicable 311(a) 6.13 311(b) 6.13 311(c) Inapplicable 312(a) 4.01 4.04 312(b) 4.04(c) 312(c) 4.04(c) 313(a) 4.03 313(b) 4.03 313(c) 4.03 313(d) 4.03 314(a) 4.02 314(b) Ina |
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| November 22, 2019 |
AQMS / Aqua Metals, Inc. S-3 - - S-3 1 forms-3.htm As filed with the Securities and Exchange Commission on November 22, 2019 Registration No. 333- . UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aqua Metals, Inc. (Exact name of registrant as specified in its charter) Delaware 47-1169572 (State of incorporation) (I.R.S. Employer Identificati |
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| November 12, 2019 |
10-Q 1 aqms0930201910q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission f |
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| November 12, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 12, 2019 AQUA METALS, INC. |
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| November 12, 2019 |
EX-99.1 2 aqms8kq32019ex991.htm EXHIBIT 99.1 NEWS RELEASE For Immediate Release Contact: Glen Akselrod, Bristol Capital (905) 326-1888, Ext. 1 [email protected] Aqua Metals Announces Third Quarter 2019 Results Remain on schedule to commission and commence running all 16 AquaRefining modules by year end Recent Highlights: • Demonstrated four AquaRefining modules running 24x7 • Demonstrated capacit |
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| September 25, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 24, 2019 AQUA METALS, INC. |
