Form Type: 4

SEC EDGAR Link
Accession Number:0001437749-23-000569
Date:2023-01-04
Issuer: AQUA METALS, INC. (AQMS)
Original Submission Date:

Reporting Person:

KANEN DAVID
5370 KIETZKE LN
SUITE 201 RENO, NV 89511

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-01-04 A 25,500 a $1.25 53,723 direct
COMMON STOCK 2023-01-04 0 $0.00 468,425 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 mr.kanen beneficially owns, pursuant to the beneficial ownership rules of section 13(d) of the securities exchange act of 1934, as amended, the shares of common stock listed in column 5 of this form 4, which represent approximately 0.6% of the issuer's outstanding shares of common stock. pursuant to such beneficial ownership rules, mr. kanen, as the managing member of kwm, may be deemed to beneficially own the 117,107 shares of common stock held in customer accounts managed by kwm as disclosed in this form 4 and the 351,318 shares of common stock held by the philotimo fund llc, of which kwm is the general partner. mr. kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. mr. kanen does not have a pecuniary interest under section 16 of the exchange act in the shares of common stock held in customer accounts managed by kwm. mr. kanen directly owns 53,723 shares of common stock in personal brokerage account.
f2 shares issued in lieu of cash for q4 2022 board compensation.
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