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.
The Aqua Metals, Inc. (NASDAQ: AQMS) SEC filings page on Stock Titan provides direct access to the company’s official disclosures as filed with the U.S. Securities and Exchange Commission. These documents are central to understanding Aqua Metals’ development as a metals recycling and refining company built around its proprietary AquaRefining™ technology for lithium-ion battery recycling and critical minerals recovery.
Through periodic reports such as the Form 10-K and Form 10-Q, investors can review detailed information on Aqua Metals’ operations, risk factors, liquidity, and progress toward commercializing its AquaRefining™ platform and AquaRefining™ Campus (ARC) facility concept. These filings also describe the company’s focus on producing high-purity, low-carbon battery materials from black mass and other feedstocks, and its efforts to support domestic critical mineral supply chains.
Current reports on Form 8-K document material events, including capital raises via registered direct offerings and private placements, notices and resolutions related to Nasdaq listing standards, reverse stock split actions, earnings announcements, and significant agreements such as securities purchase arrangements. These filings provide formal context for many of the developments referenced in Aqua Metals’ press releases.
Users can also monitor proxy statements (DEF 14A) for insight into corporate governance, director elections, equity incentive plans, and shareholder proposals related to capital structure, including reverse split authorizations and share issuance approvals. Where applicable, Form 4 and other ownership-related filings can shed light on insider equity transactions and alignment between management and shareholders.
Stock Titan enhances this raw filing data with AI-powered summaries that highlight key points from lengthy documents, helping readers quickly understand complex sections on financing terms, listing compliance, and strategic initiatives. Real-time updates from EDGAR ensure that new Aqua Metals filings appear promptly, giving AQMS investors a structured, convenient way to follow the company’s regulatory history and ongoing disclosure record.
Aqua Metals, Inc. (AQMS) launched a primary offering of 205,213 shares of common stock and up to 928,581 pre-funded warrants, and is registering 928,581 shares issuable upon exercise of those pre-funded warrants. The public offering price is $11.34 per share and $11.339 per pre-funded warrant, with a $0.001 per-share exercise price for the pre-funded warrants.
The deal is a reasonable best efforts placement with no minimum, and includes placement agent fees. The fee table shows a total offering of $12,856,295, placement agent fees of $899,941, and proceeds to the company of $11,956,354 before expenses. The company expects approximately $11.8 million in net combined proceeds from this offering and a concurrent private placement, intended for working capital and general corporate purposes.
Common stock outstanding was 1,477,966 shares before the offering and is expected to be 1,683,179 shares after, assuming no warrant exercises. Pre-funded and private placement warrants include 4.99% (or 9.99% at holder election) beneficial ownership limits.
Aqua Metals (AQMS) filed a Form 4 reporting that its Chief Financial Officer acquired 12,224 shares of common stock underlying restricted stock units on 10/13/2025. The filing lists a price of $9.58 for the transaction.
The RSUs were granted as non-cash stock awards under the company’s 2025 Long Term Incentive Program and will vest in six equal semi-annual installments over three years, contingent on continued service. Following the award, the reporting person beneficially owned 39,465 shares. The filing notes this includes 39,403 unvested RSUs. Each RSU represents the right to receive one share of common stock upon vesting.
Aqua Metals (AQMS) reported an insider equity award. The company’s Chief Executive Officer and Director acquired 33,320 shares of common stock on 10/13/2025, reflecting restricted stock units (RSUs) granted under the 2025 Long Term Incentive Program. The form lists a price of $9.58.
The RSUs vest in six equal semi-annual installments over three years, contingent on continued service. Following the award, the reporting person beneficially owned 142,265 shares directly, which includes 109,377 unvested RSUs noted in the filing.
Aqua Metals (AQMS) reported an insider equity award on a Form 4. The company’s Chief Engineering and Operating Officer acquired 10,132 shares of common stock through restricted stock units (RSUs) on 10/13/2025, recorded at $9.58 per share.
The RSUs vest in six equal semi-annual installments over three years, contingent on continued service, with each RSU delivering one share. Following the grant, the reporting person beneficially owned 37,472 shares directly, which includes 32,607 unvested RSUs. No sales were reported in this filing.
Stephen Cotton, CEO and Director of Aqua Metals, Inc. (AQMS), reported transactions on Form 4 dated 09/19/2025. He was issued 11,250 shares of common stock on a fully vested basis at no cash cost, and 4,765 shares were withheld and returned to the plan to cover tax withholding related to that award at an effective price of $4.12 per share. After these transactions he beneficially owned 115,369 shares, which includes 76,057 shares underlying unvested restricted stock units that are not yet deliverable.
Aqua Metals, Inc. (AQMS) reported that after a 1-for-10 reverse stock split effected on August 4, 2025 and an appeal hearing on August 19, 2025, Nasdaq confirmed the company has regained compliance with the minimum bid price requirement of $1.00 under Listing Rule 5550(a)(2). Nasdaq's letter dated September 4, 2025 restores the listing status that had been at risk following a prior notice of noncompliance.
The company will be placed under a mandatory panel monitor for one year ending September 4, 2026. If Nasdaq staff later finds the company again out of compliance with the minimum bid during that period, the company would not be eligible for a grace period and could face delisting unless it appeals to the Nasdaq Hearing Panel.
Eric West, Chief Financial Officer of Aqua Metals, Inc. (AQMS) reported an insider purchase on 08/19/2025. The Form 4 shows he acquired 17,179 shares of Common Stock at a price of $3.95 per share, bringing his total beneficial ownership to 27,241 shares following the transaction. The filing notes that this total includes 27,179 shares underlying restricted stock units (RSUs) that are not yet vested and deliverable. The Form 4 is signed and dated 08/21/2025 and lists his role as Chief Financial Officer.
Aqua Metals insider filing shows Benjamin S. Taecker, listed as the company's Chief Engineering and Operations Officer, received equity awards and had shares withheld for taxes. On 08/19/2025 he was issued 14,238 restricted stock units (RSUs) recorded as acquisitions at a reported price of $3.95, bringing his reported beneficial ownership to 28,879 shares. On 08/20/2025 a separate entry shows 564 shares were withheld/returned to the plan at $3.68 to cover tax withholding, reducing his reported beneficial ownership to 28,315 shares. The RSUs were granted under the 2025 Long Term Incentive Program and will vest in six equal semi-annual installments over three years, subject to continued service. The form is signed by Eric West by power of attorney on 08/21/2025.
Aqua Metals (AQMS) reporting person Stephen Cotton, who serves as Chief Executive Officer and a director, received 46,824 restricted stock units (RSUs) on 08/19/2025 under the company's 2025 Long Term Incentive Program as non-cash stock awards. The RSUs vest in six equal semi-annual installments over three years, with each RSU convertible into one share of common stock. Following the grant, the filing shows 106,039 shares beneficially owned by Mr. Cotton. On 08/20/2025, 1,920 shares were withheld to cover tax liabilities related to a prior restricted share vesting, leaving 104,119 shares beneficially owned. The form was signed by power of attorney on 08/21/2025.
Aqua Metals reported its operating and financial results for the second quarter of 2025 via a press release attached to a Form 8-K. The filing states the press release is furnished (not filed) and is included as Exhibit 99.1. The cover page interactive XBRL file is included as Exhibit 104. This Form 8-K not itself disclose numerical results in the body of the filing; instead it notifies investors that detailed operational and financial information has been released in the attached press release.
The report was executed on behalf of the company by Chief Financial Officer Eric West. Investors seeking the full figures, commentary, and any explanatory disclosures should consult Exhibit 99.1 for the complete press release and Exhibit 104 for the interactive data file.
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