Aqua Metals, Inc. — Director's Dealing 2021

Mar 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Aqua Metals, Inc. (AQMS)
CIK: 0001621832
Period of Report: 2021-03-01

Reporting Person: Merrill Judd (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-01	Common Stock	M	9973	$1.88	Acquired	390814	Direct
2021-03-01	Common Stock	S	9973	$5.15	Disposed	380841	Direct
2021-03-02	Common Stock	M	46725	$1.88	Acquired	427566	Direct
2021-03-02	Common Stock	S	46725	$5.15	Disposed	380841	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-01	Employee Stock Option (right to buy)	$1.88	M	9973	Disposed	2021-07-04	Common Stock (9973)	Direct
2021-03-02	Employee Stock Option (right to buy)	$1.88	M	46725	Disposed	2021-07-04	Common Stock (46725)	Direct

Footnotes

F1: Includes 146,725 options and 752,908 RSUs.

F2: Includes 100,000 options and 752,908 RSUs.

F3: These stock options were scheduled to expire in July 2021.