Aqua Metals, Inc.
For the period ended Dec 31, 2024. Filed Mar 31, 2025.
View on SEC.govAbout this filing
A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2024 · Filed Mar 31, 2025
AQMS$1.41-6.0%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits and Financial Statement Schedules
| Item 15. | Exhibits and Financial Statement Schedules |
|---|
(a) Financial statements
Reference is made to the Index and Financial Statements under Item 8 in Part II hereof where these documents are listed.
(b) Financial statement schedules
Financial statement schedules are either not required or the required information is included in the consolidated financial statements or notes thereto filed under Item 8 in Part II hereof.
(c) Exhibits
The exhibits to this Annual Report on Form 10-K are set forth below. The exhibit index indicates each management contract or compensatory plan or arrangement required to be filed as an exhibit.
| Number | Exhibit Description | Method of Filing |
| 3.1 | First Amended and Restated Certificate of Incorporation of the Registrant | Incorporated by reference from the Registrant’s Registration Statement on Form S-1 filed on June 9, 2015. |
| 3.2 | Third Amended and Restated Bylaws of the Registrant | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed on January 21, 2022. |
| 3.3 | Certificate of Amendment to First Amended and Restated Certificate of Incorporation of the Registrant | Incorporated by reference from the Registrant’s Registration Statement on Form S-1 filed on June 25, 2015. |
| 3.4 | Certificate of Amendment to the First Amended and Restated Certificate of Incorporation | Incorporated by reference from the Registrant’s Quarterly Report on Form 10-Q filed on May 9, 2019. |
| 3.5 | Certificate of Amendment to the First Amended and Restated Certificate of Incorporation | Incorporated by reference from the Registrant’s Quarterly Report on Form 10-Q filed on July 21, 2022. |
| 3.6 | Certificate of Amendment to the First Amended and Restated Certificate of Incorporation | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed on November 1, 2024. |
| 4.1 | Specimen Certificate representing shares of common stock of Registrant | Incorporated by reference from the Registrant’s Registration Statement on Form S-1 filed on July 20, 2015. |
| 4.2 | Underwriting Agreement dated as of July 18, 2023 between the Company and The Benchmark Company, LLC | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed July 19, 2023. |
| 4.3 | Warrant dated August 4, 2023 issued to Network 1 Financial Services, Inc. | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 4.4 | Warrant dated July 21, 2023 issued to The Benchmark Company, LLC | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 4.5 | Warrant dated January 22, 2019 issued to National Securities Corporation | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed January 17, 2019. |
| 4.6 | Form of Non-Redeemable Common Stock Purchase Warrant issued to investors in May 2024 public offering | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed May 15, 2024. |
| 4.7 | Form of Warrant Agency Agreement to be entered into between the Company and VStock Transfer, LLC | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed May 15, 2024. |
| 4.8 | Form of Underwriter Warrant to be issued to the Benchmark Company, LLC in May 2024 public offering | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed May 15, 2024. |
| 4.9 | Form of Common Stock Purchase Warrant issued to investors in December 2024 private placement | Filed electronically herewith. |
| 4.10 | Description of Capital Stock | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on February 25, 2022. |
| 10.1 | Form of Indemnification Agreement entered into by the Registrant with its Officers and Directors | Incorporated by reference from the Registrant’s Registration Statement on Form S-1 filed on June 9, 2015. |
| 10.2 | Loan Agreement dated January 27, 2023 with Summit Investment Services, LLC | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 10.3* | Aqua Metals, Inc. Officer and Director Share Purchase Plan | Incorporated by reference from the Registrant’s Quarterly Report on Form 10-Q filed on November 9, 2017. |
| 10.4* | Aqua Metals 2019 Stock Incentive Plan | Incorporated by reference from the Registrant's Definitive Proxy Statement filed on March 4, 2019. |
| 10.5* | Loan Agreement dated September 30, 2022 with Summit Investment Services, LLC | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 9, 2023. |
| 10.6* | Amended and Restated Executive Employment Agreement dated August 7, 2023 between the Registrant and Stephen Cotton | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 10.7* | Amended and Restated Executive Employment Agreement dated August 7, 2023 between the Registrant and Judd Merrill | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 10.8* | Amended and Restated Executive Employment Agreement dated August 7, 2023 between the Registrant and Benjamin Taecker | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 10.9* | Amended and Restated Aqua Metals 2022 Employee Stock Purchase Plan | Incorporated by reference from the Registrant's Definitive Proxy Statement filed on April 5, 2023. |
| 10.10 | Form of Secured Promissory Note issued in December 2024 Private Placement | Filed electronically herewith. |
| 10.11 | Security Agreement dated December 18, 2024 between the Registrant and Purchasers of Notes in the December 2024 Private Placement. | Filed electronically herewith. |
| 19.1 | Aqua Metals Insider Trading Policy | Filed electronically herewith. |
| 21.1 | List of subsidiaries of Registrant. | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 23.2 | Consent of Forvis, LLP, Independent Registered Public Accounting Firm. | Filed electronically herewith. |
| 31.1 | Certification under Section 302 of the Sarbanes-Oxley Act of 2002. | Filed electronically herewith. |
| 31.2 | Certification under Section 302 of the Sarbanes-Oxley Act of 2002. | Filed electronically herewith. |
| 32.1 | Certifications Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 U.S.C. Section 1350. | Filed electronically herewith. |
| 99.1 | Aqua Metals Executive Officer Clawback Policy | Incorporated by reference from the Registrant’s Annual Report on Form 10-K filed on March 28, 2024. |
| 101.INS | Inline XBRL Instance Document | Filed electronically herewith |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | Filed electronically herewith |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | Filed electronically herewith |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | Filed electronically herewith |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | Filed electronically herewith |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | Filed electronically herewith |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | Filed electronically herewith |
- Indicates management compensatory plan, contract or arrangement.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.