Aqua Metals CFO Eric West gets 12,583-share award

The 12,583 RSUs vest in six equal semi-annual installments over three years, subject to Eric West's continued service.

Rhea-AI Filing Summary

Aqua Metals, Inc. (AQMS) Chief Financial Officer Eric West received an award covering 12,583 shares underlying restricted stock units on October 13, 2026. The non-cash award vests and settles in six equal semi-annual installments over three years, subject to his continued service. On the same date, 863 shares were withheld to satisfy tax withholding obligations when 2,037 previously reported RSUs vested; the reported price was $1.92 per share. A footnote also identifies 76,137 shares underlying RSUs that are not yet vested and deliverable.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider West Eric

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	12,583	$0.00	$0.00
Tax Withholding	Common Stock F2, F3	863	$1.92	$2K

Holdings After Transaction: Common Stock — 112,196 shares (Direct)

Footnotes (3)

1. F1. Represents 12,583 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three-year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2026 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one share of Common Stock of the issuer.
2. F2. Represents the withholding of 863 shares of common stock to satisfy tax withholding obligations in connection with the October 13, 2026 vesting of 2,037 previously reported restricted stock units.
3. F3. Includes 76,137 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

Key Figures

Award: 12,583 shares underlying RSUs Vesting installments: 6 equal semi-annual installments Vesting period: 3 years +4 more

7 metrics

Award 12,583 shares underlying RSUs Non-cash stock award dated October 13, 2026

Vesting installments 6 equal semi-annual installments Over three years, subject to continued service

Vesting period 3 years For the RSU award

Shares withheld 863 shares To satisfy tax withholding obligations upon vesting of previously reported RSUs on October 13, 2026

Reported price $1.92 per share For the 863 shares withheld

Previously reported RSUs vested 2,037 RSUs Vesting on October 13, 2026

Unvested RSUs included 76,137 shares underlying RSUs Not yet vested and deliverable

Key Terms

restricted stock units, semi-annual installments, tax withholding obligations, non-cash stock awards

4 terms

restricted stock units financial

"shares underlying restricted stock units ("RSUs")"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

semi-annual installments financial

"six equal semi-annual installments over a three-year period"

tax withholding obligations financial

"to satisfy tax withholding obligations"

non-cash stock awards financial

"granted under the Company's 2026 Long Term Incentive Program as non-cash stock awards"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many RSUs did AQMS CFO Eric West receive?

Eric West, Aqua Metals' chief financial officer, received an award covering 12,583 shares underlying RSUs on October 13, 2026, as non-cash stock awards under the 2026 Long Term Incentive Program. The RSUs vest and settle in six equal semi-annual installments over three years, subject to his continued service; each RSU entitles its holder to one share of common stock.

How many AQMS shares were withheld for taxes?

Aqua Metals withheld 863 shares of common stock on October 13, 2026, to satisfy tax withholding obligations when 2,037 previously reported RSUs vested. The reported price was $1.92 per share.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/15/2026 - 04:26 PM EDT Accepted by SEC EDGAR 10/15/2026 - 04:26 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

West Eric

(Last) (First) (Middle)

5370 KIETZKE LN

SUITE 201

(Street)

RENO NEVADA 89511

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Aqua Metals, Inc. [ AQMS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/13/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/13/2026		A(1)		12,583	A	$0	113,059	D
Common Stock	10/13/2026		F(2)		863	D	$1.92	112,196(3)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents 12,583 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three-year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2026 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one share of Common Stock of the issuer.

2. Represents the withholding of 863 shares of common stock to satisfy tax withholding obligations in connection with the October 13, 2026 vesting of 2,037 previously reported restricted stock units.

3. Includes 76,137 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

	/s/ Eric West	10/15/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)