Welcome to our dedicated page for Aqua Metals SEC filings (Ticker: AQMS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Aqua Metals filings document regulatory disclosures for an operating company developing and commercializing battery metals recycling and refining technology. Recent Form 8-K reports cover operating and financial results, material agreements, capital-structure matters, shareholder voting items and governance updates related to the company’s common stock listed on the Nasdaq Capital Market.
The filing record also includes proxy materials addressing annual meeting proposals, executive compensation and stockholder votes, along with material-event reports on Nasdaq listing compliance and reverse-split-related capital structure actions. These disclosures frame AQMS around AquaRefining commercialization, financing needs, public-company governance and the risks of scaling sustainable metals recycling operations.
Aqua Metals, Inc. (AQMS) reports an administrative change to its existing at-the-market equity program. On August 30, 2024, Aqua Metals entered into an ATM Sales Agreement with The Benchmark Company, LLC, which was amended on December 2, 2025. On September 2, 2026, Benchmark notified Aqua Metals that it had assigned its rights and obligations under the Sales Agreement to its affiliate, StoneX Financial Inc., an SEC-registered broker-dealer and FINRA/SIPC member. The agreement permits Benchmark to assign its rights and obligations to an affiliate pursuant to Section 13 of the Sales Agreement without Aqua Metals’ consent.
Aqua Metals, Inc. (symbol: AQMS) is the issuer of record for a Form 4 filing submitted to the SEC.
Aqua Metals, Inc. (AQMS) reported that director Vincent L. DiVito received an equity award of 15,641 shares of Common Stock on August 24, 2026, in the form of restricted stock units (RSUs) at $0.00 per share. Footnotes state the first installment vested immediately on that date, with remaining RSUs vesting in three installments on 11/1/2026, 2/1/2027, and 5/1/2027, each RSU converting into one share of Common Stock. Following this award, DiVito directly holds 26,402 shares, including 11,731 unvested RSUs that are not yet deliverable.
Aqua Metals, Inc. (AQMS) reported that director Eric John Gangloff acquired 10,427 shares of Common Stock on August 24, 2026 through a restricted stock unit (RSU) grant, recorded at $0.0000 per share. Each RSU entitles the holder to receive one share of Common Stock.
The first installment of this RSU award vested immediately on August 24, 2026, with the remaining RSUs scheduled to vest in three installments on November 1, 2026, February 1, 2027, and May 1, 2027. Following this grant, Gangloff’s direct holdings total 22,347 shares, which include 7,820 shares underlying RSUs that are not yet vested and deliverable.
Aqua Metals, Inc. (symbol: AQMS) is the issuer of record for a Form 4 filing submitted to the SEC.
Aqua Metals, Inc. (symbol: AQMS) is the issuer of record for a Form 4 filing submitted to the SEC.
Aqua Metals, Inc. (AQMS) reported that officer Benjamin S. Taecker, Chief Engineering and Operating Officer, received an equity compensation grant of 30,958 restricted stock units (RSUs) on 2026-08-24. These RSUs, granted as non-cash stock awards under the 2026 Long Term Incentive Program, will vest in six equal semi-annual installments over three years, subject to his continued service. Each RSU converts into one share of common stock upon vesting. Following this grant, Taecker’s reported direct holdings total 87,274 shares, including 53,312 unvested RSUs.
Aqua Metals, Inc. (AQMS) held its annual meeting of stockholders on August 18, 2026. Stockholders elected four directors—Stephen Cotton, Vincent L. DiVito, Eric J. Gangloff, and Steven K. Henderson—with each receiving over 529,000 shares voted for and 1,046,551 broker non-votes recorded in the director elections.
Stockholders approved an amendment to the 2019 Stock Incentive Plan to increase the number of shares of common stock reserved under the plan by 750,000 shares, and they ratified the appointment of Forvis Mazars, LLP as independent registered public accounting firm for the fiscal year ending December 31, 2026. In addition, stockholders approved, on an advisory basis, the compensation of the company’s named executive officers as disclosed in the 2026 Proxy Statement.
Aqua Metals, Inc. (AQMS) reported an insider tax-withholding transaction by officer Benjamin S. Taecker, Chief Eng and Opr Officer. On August 19, 2026, 1,005 shares of common stock were withheld and returned to the plan at $2.67 per share to cover taxes on the vesting of a previously granted restricted share award. After this transaction, Taecker directly holds 56,316 shares of common stock, including 22,354 shares underlying unvested RSUs.
Aqua Metals, Inc. (AQMS) reported that Chief Financial Officer Eric West had 1,213 shares of common stock withheld on August 19, 2026 at $2.67 per share to cover tax liability from the vesting of a previously reported restricted stock grant. Following this tax-withholding disposition, West directly holds 63,124 shares of common stock, which includes 28,239 shares underlying unvested restricted stock units.