Aqua Metals, Inc. — Director's Dealing 2021

Aug 20, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Aqua Metals, Inc. (AQMS)
CIK: 0001621832
Period of Report: 2021-08-10

Reporting Person: Taecker Benjamin S. (Chief Eng and Opr Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	50000	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option	$11.8400	2023-07-24	Common Stock (5701)		Direct
Restricted Stock Units	$0.0000		Common Stock (213106)		Direct

Footnotes

F1: Represents 50,000 shares of restricted common stock that are not yet vested and are subject to forfeiture.

F2: All options are currently exercisable.

F3: Represents 213,106 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest on on the following dates: 58,554 on January 1, 2022, 55,409 on July 1, 2022, 55,409 on January 1, 2023, 21,867 on July 1, 2023 and 21,867 on January 1, 2024, subject to the Reporting Person's continuation of service with the Company.