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Aqua Metals (AQMS) CFO has stock withheld on RSU vesting

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider West Eric
Role Chief Financial Officer
Type Security Shares Price Value
Tax Withholding Common Stock F1, F2 1,213 $2.67 $3K
Holdings After Transaction: Common Stock — 63,124 shares (Direct)
Footnotes (2)
  1. F1. Represents the number of shares withheld and returned to the plan to cover the tax liability of the August 19, 2026 vesting of a previously reported restricted share grant represented in Table I.
  2. F2. Includes 28,239 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.
Shares withheld for tax liability 1,213 shares Withheld and returned to the plan on August 19, 2026 to cover tax liability from an RSU vesting
Per-share value for withheld shares $2.67 per share Value applied to the 1,213 shares withheld for tax liability
Shares held after transaction 63,124 shares Direct holdings of Eric West following the August 19, 2026 tax-withholding transaction
Unvested RSU underlying shares 28,239 shares Shares underlying RSUs that are not yet vested and deliverable, included in post-transaction holdings
restricted stock units ("RSUs") financial
"Includes 28,239 shares underlying restricted stock units ("RSUs") that are not yet vested"
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.
withheld and returned to the plan financial
"Represents the number of shares withheld and returned to the plan to cover"
tax liability financial
"to cover the tax liability of the August 19, 2026 vesting of a previously"

FAQ

What transaction did Aqua Metals (AQMS) CFO Eric West report on this Form 4?
CFO Eric West reported a code F transaction where 1,213 shares of Aqua Metals common stock were withheld on August 19, 2026 to cover tax liability from the vesting of a previously reported restricted stock grant.

At what price were the Aqua Metals (AQMS) shares withheld for Eric West’s tax liability?
The 1,213 shares of Aqua Metals common stock withheld for Eric West’s tax liability were valued at $2.67 per share, as reported in the Form 4 transaction details.

How many Aqua Metals (AQMS) shares does CFO Eric West hold after this Form 4 transaction?
After the August 19, 2026 transaction, CFO Eric West directly holds 63,124 shares of Aqua Metals common stock. This total includes shares underlying unvested restricted stock units disclosed in the filing.

How many unvested RSU shares does Aqua Metals (AQMS) CFO Eric West have?
CFO Eric West’s reported holdings include 28,239 shares underlying restricted stock units (RSUs) that are not yet vested and deliverable, according to the footnote in the Form 4 filing.

Was the Aqua Metals (AQMS) Form 4 transaction a market sale by Eric West?
No. The Form 4 describes a code F transaction in which 1,213 shares were withheld and returned to the plan to cover tax liability from an RSU vesting, rather than a discretionary open-market sale.

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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/19/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock08/19/2026F(1)1,213D$2.6763,124(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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 August 19, 2026 vesting of a previously reported restricted share grant represented in Table I.
2. Includes 28,239 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.
/s/ Eric West08/21/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR