Aqua Metals CFO has shares withheld for taxes

Aqua Metals, Inc. Chief Financial Officer Eric West reported a Form 4 transaction involving common stock.

Rhea-AI Filing Summary

Aqua Metals, Inc. Chief Financial Officer Eric West reported a Form 4 transaction involving common stock. On the vesting of a previously granted restricted share award on February 24, 2026, 1,214 shares were withheld and returned to the plan to cover associated tax liabilities at a price of $4.76 per share.

After this tax-withholding disposition, West beneficially owns 65,921 common shares, which include 34,840 shares underlying restricted stock units that are not yet vested and deliverable. The transaction reflects administrative tax settlement rather than an open‑market sale.

Insider Trade Summary

Exercise Price or Tax Liability: 1,214 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	1,214	$4.76	$6K

Holdings After Transaction: Common Stock — 65,921 shares (Direct)

Footnotes (2)

1. F1. Represents the number of shares withheld and returned to the plan to cover the tax liability of the February 24, 2026 vesting of a previously reported restricted share grant represented in Table I.
2. F2. Includes 34,840 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

FAQ

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

What insider transaction did Aqua Metals (AQMS) CFO Eric West report?

Eric West reported a tax-withholding disposition of 1,214 shares of Aqua Metals common stock. The shares were withheld and returned to the company’s equity plan to satisfy taxes due on a February 24, 2026 restricted share vesting.

Was the Aqua Metals (AQMS) CFO’s Form 4 a market sale of shares?

No, the Form 4 shows a tax-withholding disposition, not an open-market sale. Shares were withheld and returned to the plan to cover tax liabilities from a vesting restricted share grant on February 24, 2026.

How many Aqua Metals (AQMS) shares were involved in the CFO’s tax withholding?

The filing reports that 1,214 shares of Aqua Metals common stock were withheld. These shares were returned to the equity plan to cover the tax liability related to the vesting of a previously reported restricted share grant on February 24, 2026.

What is the reported price per share in the Aqua Metals (AQMS) CFO transaction?

The Form 4 lists a transaction price of $4.76 per share for the 1,214 withheld shares. This price is used solely for reporting the value of shares withheld to satisfy the tax obligation on the restricted share vesting.

How many Aqua Metals (AQMS) shares does the CFO own after this Form 4 transaction?

After the tax-withholding disposition, Eric West beneficially owns 65,921 Aqua Metals common shares. This total includes 34,840 shares underlying restricted stock units that are not yet vested and therefore not yet deliverable as common stock.

What role do restricted stock units play in Aqua Metals (AQMS) CFO’s reported holdings?

The CFO’s reported holdings include 34,840 shares underlying unvested restricted stock units. These RSUs are part of his equity compensation and will only convert into deliverable common shares once their vesting conditions are satisfied in future periods.

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

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Accepted by SEC EDGAR 02/26/2026 - 07:53 PM 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 NV 89511

(City) (State) (Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
02/24/2026

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

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

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

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	02/24/2026		F(1)		1,214	D	$4.76	65,921(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 February 24, 2026 vesting of a previously reported restricted share grant represented in Table I.

2. Includes 34,840 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

	/s/ Eric West	02/26/2026
	** 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.
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