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: Cotton Stephen (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-01	Common Stock	M	45000	$1.88	Acquired	1137873	Direct
2021-03-01	Common Stock	S	45000	$5.15	Disposed	1092873	Direct
2021-03-02	Common Stock	M	187461	$1.88	Acquired	1280334	Direct
2021-03-02	Common Stock	S	187461	$5.02	Disposed	1092873	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	45000	Disposed	2021-07-04	Common Stock (45000)	Direct
2021-03-02	Employee Stock Option (right to buy)	$1.88	M	187461	Disposed	2021-07-04	Common Stock (187461)	Direct

Footnotes

F1: Includes 1,027,461 options and 2,131,680 RSUs.

F2: Includes 840,000 options and 2,131,680 RSUs.

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