Aqua Metals CFO shares withheld for tax payment

Aqua Metals, Inc. Chief Financial Officer Eric West reported a routine tax-withholding transaction related to a vesting of restricted stock.

Accepted by SEC EDGAR 05/20/2026 - 04:11 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Aqua Metals, Inc. Chief Financial Officer Eric West reported a routine tax-withholding transaction related to a vesting of restricted stock. On the vesting date, 721 common shares were withheld and returned to the equity plan at a price of $3.91 per share to cover tax liabilities. Following this withholding, West directly holds 64,337 common shares, which includes 31,102 shares underlying restricted stock units that are not yet vested and deliverable.

Insider Trade Summary

Exercise Price or Tax Liability: 721 shares

Exercise Price or Tax Liability 1 txn

Insider West Eric

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	721	$3.91	$3K

Holdings After Transaction: Common Stock — 64,337 shares (Direct)

Footnotes (2)

1. F1. Represents the number of shares withheld and returned to the plan to cover the tax liability of the May 19, 2026 vesting of a previously reported restricted share grant represented in Table I.
2. F2. Includes 31,102 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

Key Figures

Shares withheld for taxes: 721 shares Tax-withholding price: $3.91 per share Shares held after transaction: 64,337 shares +1 more

4 metrics

Shares withheld for taxes 721 shares Tax-withholding disposition on May 19, 2026

Tax-withholding price $3.91 per share Value used for 721 withheld shares

Shares held after transaction 64,337 shares Direct common stock holdings after withholding

Unvested RSUs underlying shares 31,102 shares Restricted stock units not yet vested and deliverable

Key Terms

restricted stock units ("RSUs"), tax liability, withheld and returned to the plan

3 terms

restricted stock units ("RSUs") financial

"Includes 31,102 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable."

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

tax liability financial

"shares withheld and returned to the plan to cover the tax liability of the May 19, 2026 vesting"

withheld and returned to the plan financial

"Represents the number of shares withheld and returned to the plan to cover the tax liability"

FAQ

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

What did Aqua Metals (AQMS) disclose in Eric West's latest Form 4?

Aqua Metals reported that CFO Eric West had 721 common shares withheld and returned to the company’s equity plan at $3.91 per share to cover taxes from a restricted stock vesting, a routine compensation-related transaction rather than an open-market trade.

How many Aqua Metals (AQMS) shares does CFO Eric West hold after this filing?

After the tax-withholding transaction, CFO Eric West holds 64,337 common shares directly. This total includes 31,102 shares underlying restricted stock units that have been granted but are not yet vested and deliverable, reflecting both vested and unvested equity interests.

Was the Aqua Metals (AQMS) Form 4 transaction a market sale by the CFO?

No, the Form 4 shows a tax-withholding disposition, not an open-market sale. The 721 shares were withheld and returned to the equity plan to satisfy tax obligations arising from a May 19, 2026 vesting of previously granted restricted shares.

What price was used for the Aqua Metals (AQMS) tax-withholding shares?

The 721 Aqua Metals common shares withheld for taxes were valued at $3.91 per share. This price is used solely for calculating the tax-withholding amount associated with the restricted stock vesting, rather than reflecting a voluntary market trade by the CFO.

What are the unvested RSUs mentioned in the Aqua Metals (AQMS) Form 4?

The filing notes that Eric West’s holdings include 31,102 shares underlying restricted stock units. These RSUs represent share-based awards that have been granted but are not yet vested and deliverable, meaning future vesting could increase his directly deliverable share ownership.

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

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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)
05/19/2026

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	05/19/2026		F(1)		721	D	$3.91	64,337(2)	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 the number of shares withheld and returned to the plan to cover the tax liability of the May 19, 2026 vesting of a previously reported restricted share grant represented in Table I.

2. Includes 31,102 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

	/s/ Eric West	05/20/2026
	** 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)