# EDGAR Filing Document

**Accession Number:** 0001621832
**File Stem:** 0001437749-23-001163
**Filing Date:** 2023-1
**Character Count:** 5209
**Document Hash:** d2411e01afc7c7557128d2e83e6203b0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-001163.hdr.sgml**: 20230117

**ACCESSION NUMBER**: 0001437749-23-001163

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230117

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230117

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Aqua Metals, Inc.
- **CENTRAL INDEX KEY:** 0001621832
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECONDARY SMELTING & REFINING OF NONFERROUS METALS [3341]
- **IRS NUMBER:** 471169572
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37515
- **FILM NUMBER:** 23532164

**BUSINESS ADDRESS:**
- **STREET 1:** 2500 PERU DR.
- **CITY:** MCCARRAN
- **STATE:** NV
- **ZIP:** 89437
- **BUSINESS PHONE:** (775) 525-1936

**MAIL ADDRESS:**
- **STREET 1:** 2500 PERU DR.
- **CITY:** MCCARRAN
- **STATE:** NV
- **ZIP:** 89437

aqms20230117_8k.htm

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of**

**the Securities Exchange Act of 1934**

**Date of report (Date of earliest event reported): **January 17, 2023**

**AQUA METALS, INC.**

(Exact Name of Registrant as Specified in Its Charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-37515** | **47-1169572** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (I.R.S. Employer Identification Number) |
| **5370 Kietzke Lane, Suite 201**<br> **Reno, **Nevada 89511** | **5370 Kietzke Lane, Suite 201**<br> **Reno, **Nevada 89511** | **5370 Kietzke Lane, Suite 201**<br> **Reno, **Nevada 89511** |
| (Address of principal executive offices) | (Address of principal executive offices) | (Address of principal executive offices) |

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| |
|:---|
| **(**775**) **446-4418** |
| (Registrant's telephone number, including area code) |

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(Former name or former address, if changed since last report)<br>

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions.

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14d-2(b)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐<br>

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Securities registered pursuant to Section 12(b)of the Act:**

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common stock: Par value $.001 | AQMS | Nasdaq Capital Market |

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| | |
|:---|:---|
| **Item 3.01.** | **Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.** |

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On August 2, 2022, Aqua Metals, Inc. (the "Company") received a letter (the "Letter") from the Nasdaq Stock Market, LLC. The Letter notified the Company that it had fallen below compliance with respect to the continued listing standard set forth in Rule 5550(a)(2) of the Nasdaq Listing Rules because the closing bid price of the Company's common stock over the previous 30 consecutive trading-day period had fallen below $1.00 per share. The Letter further stated that the Company had 180 days from the date of the Letter, or until January 30, 2023, to regain compliance with the minimum bid price requirement in Rule 5550(a)(2) by achieving a closing bid price for the Company's common stock of at least $1.00 per share over a minimum of 10 consecutive business days.

On January 17, 2023, the Company was notified by the Nasdaq Stock Market, LLC that the Nasdaq staff has determined that for the last 10 consecutive business days, from December 30, 2022 to January 13, 2023, the closing bid price of the Company's common stock has been at $1.00 per share or greater and that the Company has regained compliance with Listing Rule 5550(a)(2).

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | |
|:---|:---|
|  | **AQUA METALS, INC.** |
| Dated: January 17, 2023 | */s/ Judd Merrill* |
|  | Judd Merrill, |
|  | Chief Financial Officer |

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