Filing Details

Accession Number:
0001437749-22-029854
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-12-28 19:23:01
Reporting Period:
2022-12-23
Accepted Time:
2022-12-28 19:23:01
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1621832 Aqua Metals Inc. AQMS Secondary Smelting & Refining Of Nonferrous Metals (3341) 471169572
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1681614 Kanen Wealth Management Llc 5850 Coral Ridge Dr Ste 309
Coral Springs FL 33076
No No No Yes
1681743 David Kanen 5370 Kietzke Ln
Suite 201
Reno NV 89511
Yes No No No
1688522 Philotimo Fund, Lp 5850 Coral Ridge Dr Ste 309
Coral Springs FL 33076
No No No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2022-12-23 212,437 $0.71 212,437 No 4 P Indirect PHILOTIMO FUND, LP
Common Stock Acquisiton 2022-12-23 70,813 $0.71 70,813 No 4 P Indirect KANEN WEALTH MANAGEMENT, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect PHILOTIMO FUND, LP
No 4 P Indirect KANEN WEALTH MANAGEMENT, LLC
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 28,223 Direct
Footnotes
  1. This Form 4 is filed jointly by David Kanen, Kanen Wealth Management, LLC ("KWM") and The Philotimo Fund, LP (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a group that may be deemed to collectively beneficially own approximately 0.4% of the Issuer's outstanding shares of Common Stock. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the beneficial owners of any securities of the Issuer he or it does not directly own.
  2. Mr.Kanen beneficially owns, pursuant to the beneficial ownership rules of Section 13(d) of the Securities Exchange Act of 1934, as amended, the shares of Common Stock listed in Column 5 of this Form 4, which represent approximately 0.4% of the Issuer's outstanding shares of Common Stock. Pursuant to such beneficial ownership rules, Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 70,813 shares of Common Stock held in customer accounts managed by KWM as disclosed in this Form 4 and the 212,437 shares of Common Stock held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest under Section 16 of the Exchange Act in the shares of Common Stock held in customer accounts managed by KWM. Mr. Kanen directly owns 28,223 shares of Common Stock in personal brokerage account.
  3. KWM does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM.