Form D · Other

Aqua Metals, Inc.

Alameda, CA · CIK 0001621832

Offering snapshot reported May 26, 2016 · SEC filing

Reported sold: $15.1M
Investors reported: 26
Minimum accepted: $0
First sale: May 24, 2016

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 26, 2016	Initial	$15,121,651	No comparison	26	SEC filing
Nov 7, 2014	Amendment	$5,500,000	No comparison	88	SEC filing
Oct 8, 2014	Initial	Yet to sell	No comparison	0	SEC filing

Offering details

Securities: Equity, Debt, Option to acquire, Security to be acquired
Exemptions: 06b
Duration over one year: No
Business combination: No

Sales commissions: $307K
Finders' fees: $0
Form D file number: 021-263941

Includes private offering of approximately $10,121,651 of common stock ("CS") and a $5,000,000 convertible note. Does not include the value of warrants to purchase 2,307,378 shares of CS issued to the noteholder and the shares of CS underlying the note.

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
National Securities Corporation	7569

Source: Form D, filed May 26, 2016. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Stephen R. Clarke, Dr.	Director, Executive
Stephen Cotton	Executive
Vincent L. Di Vito	Director
Selwyn Mould	Executive
Thomas Murphy	Director, Executive
Mark Slade	Director

Issuer details

Industry: Other (See others in industry)

Address:

1010 Atlantic Avenue
Alameda, CA, 94501