Aqua Metals filings document regulatory disclosures for an operating company developing and commercializing battery metals recycling and refining technology. Recent Form 8-K reports cover operating and financial results, material agreements, capital-structure matters, shareholder voting items and governance updates related to the company’s common stock listed on the Nasdaq Capital Market.
The filing record also includes proxy materials addressing annual meeting proposals, executive compensation and stockholder votes, along with material-event reports on Nasdaq listing compliance and reverse-split-related capital structure actions. These disclosures frame AQMS around AquaRefining commercialization, financing needs, public-company governance and the risks of scaling sustainable metals recycling operations.
Aqua Metals, Inc. (AQMS) held its annual meeting of stockholders on August 18, 2026. Stockholders elected four directors—Stephen Cotton, Vincent L. DiVito, Eric J. Gangloff, and Steven K. Henderson—with each receiving over 529,000 shares voted for and 1,046,551 broker non-votes recorded in the director elections.
Stockholders approved an amendment to the 2019 Stock Incentive Plan to increase the number of shares of common stock reserved under the plan by 750,000 shares, and they ratified the appointment of Forvis Mazars, LLP as independent registered public accounting firm for the fiscal year ending December 31, 2026. In addition, stockholders approved, on an advisory basis, the compensation of the company’s named executive officers as disclosed in the 2026 Proxy Statement.
Aqua Metals, Inc. (AQMS) reported an insider tax-withholding transaction by officer Benjamin S. Taecker, Chief Eng and Opr Officer. On August 19, 2026, 1,005 shares of common stock were withheld and returned to the plan at $2.67 per share to cover taxes on the vesting of a previously granted restricted share award. After this transaction, Taecker directly holds 56,316 shares of common stock, including 22,354 shares underlying unvested RSUs.
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.
Aqua Metals, Inc. (AQMS) reported a Form 4 transaction by Chief Executive Officer and director Stephen Cotton. On August 19, 2026, 3,305 shares of common stock were withheld and returned to the company’s equity plan at $2.67 per share to cover tax liabilities from the vesting of a previously granted restricted share award. Following this withholding transaction, Cotton directly holds 213,966 common shares, which includes 73,718 shares underlying unvested RSUs that are not yet deliverable.
Aqua Metals, which is developing its AquaRefining clean recycling technology for lithium‑ion and lead‑acid batteries, reported a net loss of $4,480,000 for the three months and $8,434,000 for the six months ended June 30, 2026, with no commercial revenue. Total assets were $12,622,000 and stockholders’ equity $9,530,000 as of that date.
The company advanced its Project Headwaters ARC commercialization plans but recorded a $2,496,000 allowance for credit losses on its $4,160,000 Lion Energy participation interest after default and reduced information access. Cash and cash equivalents were $4,744,000, and operating cash outflow was $6,474,000 for the six months, leading management to conclude there is substantial doubt about continuing as a going concern despite raising $1,876,000 via its ATM program and $621,000 through its 2026 ESPP.
Aqua Metals, Inc. reported second quarter 2026 results and highlighted progress on its phased Headwaters ARC commercialization plan for LFP battery recycling. For the quarter ended June 30, 2026, the company recorded a net loss of $4,480 thousand, or $(1.31) per share, compared with a net loss of $6,770 thousand in the second quarter of 2025.
As of June 30, 2026, cash and cash equivalents were $4,744 thousand, with total assets of $12,622 thousand and stockholders’ equity of $9,530 thousand. The CEO noted that the company has entered the current commercialization phase debt-free and intends to align capital deployment with commercial milestones.
The Headwaters ARC plan is described as a staged model. Phase 1 focuses on mechanically processing LFP battery materials to produce copper and aluminum fines and high-specification black mass, building feedstock and offtake relationships. Phase 2 is expected to integrate AquaRefining™ to upcycle black mass into battery-grade lithium carbonate, iron phosphate and graphite. Aqua Metals is advancing diligence on a Midwest site of approximately 150,000 square feet on more than 50 acres, has logged over 5,000 operating hours at its demonstration plant, and was selected as an industrial partner on a DOE-funded program, while maintaining multiple commercial partnerships and memoranda of understanding.
Aqua Metals is asking stockholders to vote at its 2026 annual meeting on four key items. Stockholders will elect four directors, including CEO Stephen Cotton and three independent directors, and vote on an amendment to the 2019 Stock Incentive Plan.
The plan amendment would add 750,000 shares of common stock for equity awards, about 21% of the 3,543,793 shares outstanding as of June 30, 2026, to support long-term incentives for employees, executives, directors and advisors. Stockholders will also vote on ratifying Forvis Mazars, LLP as independent auditor for 2026 and cast an advisory “say‑on‑pay” vote on executive compensation.
The proxy details board independence, committee structures, a formal clawback policy tied to accounting restatements, insider trading and hedging restrictions, and change‑in‑control and severance protections for senior executives. It also discloses 2025 compensation, including total pay of $1,869,000 for the CEO.
Aqua Metals, Inc. reported a routine insider share withholding by Chief Eng and Opr Officer Benjamin S. Taecker. On July 1, 2026, 744 shares of common stock were withheld and returned to the company’s equity plan to cover tax obligations arising from the vesting of a previously reported restricted share grant. This was recorded as a tax-withholding disposition, not an open-market sale, at a price of $2.97 per share. After this transaction, Taecker directly held 57,321 common shares, including 24,727 shares underlying restricted stock units that are not yet vested and deliverable.
Aqua Metals, Inc. Chief Executive Officer Stephen Cotton reported a routine tax-related share disposition. On the vesting of a previously granted restricted share award on July 1, 2026, 2,402 shares of common stock were withheld and returned to the company plan to cover the related tax liability.
After this withholding, Cotton holds 217,271 shares of Aqua Metals common stock directly, which the disclosure states includes 81,522 shares underlying unvested restricted stock units that are not yet deliverable. The transaction did not involve an open-market purchase or sale of shares.