4//SEC Filing
Kanen David 4
Accession 0001437749-23-013919
CIK 0001621832other
Filed
May 10, 8:00 PM ET
Accepted
May 11, 4:02 PM ET
Size
14.6 KB
Accession
0001437749-23-013919
Insider Transaction Report
Form 4
Kanen David
Director
Transactions
- Award
Common Stock
2023-05-09$1.10/sh+45,455$50,001→ 131,053 total
Holdings
- 468,425(indirect: See footnote)
Common Stock
Footnotes (2)
- [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.
- [F2]Represents 45,455 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in four equal quarterly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer. Includes 85,598 shares of Common Stock that Mr. Kanen directly owns in personal brokerage account.
Documents
Issuer
Aqua Metals, Inc.
CIK 0001621832
Entity typeother
Related Parties
1- filerCIK 0001681743
Filing Metadata
- Form type
- 4
- Filed
- May 10, 8:00 PM ET
- Accepted
- May 11, 4:02 PM ET
- Size
- 14.6 KB