# EDGAR Filing Document

**Accession Number:** 0001621832
**File Stem:** 0001437749-25-023332
**Filing Date:** 2025-7
**Character Count:** 8280
**Document Hash:** 96e5a5fc762f6819afae0df36ad84de4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-25-023332.hdr.sgml**: 20250724

**ACCESSION NUMBER**: 0001437749-25-023332

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250722

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20250724

**DATE AS OF CHANGE**: 20250723

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Aqua Metals, Inc.
- **CENTRAL INDEX KEY:** 0001621832
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECONDARY SMELTING & REFINING OF NONFERROUS METALS [3341]
- **ORGANIZATION NAME:** 04 Manufacturing
- **EIN:** 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:** 251144032

**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

?xml version='1.0' encoding='ASCII'? aqms20250723_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): July 22, 2025**

**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<br> Incorporation) | (Commission File Number) | (I.R.S. Employer Identification<br> 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) |

---

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

**<u>Securities registered pursuant to Section 12(b)of the Act:</u>**

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

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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. ☐

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**Item 5.07.**&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; **Submission of Matters To a Vote of Security Holders**

We held an annual meeting of stockholders on July 22, 2025, for purposes of:

● Electing four directors, each to serve until our 2026 Annual Meeting of Stockholders; and

● Approving, for purposes of complying with Nasdaq Listing Rule 5635(d), the potential issuance and sale of up to $10,000,000 of our common stock, pursuant to our purchase agreement with Lincoln Park Capital Fund, LLC;

● Approving an amendment to our First Amended and Restated Certificate of Incorporation to effect a reverse split of our issued and outstanding shares of common stock, at a specific ratio, ranging from one-for-two (1:2) to one-for-ten (1:10), with the exact ratio within such range to be determined by the Board of Directors of the Company;

● Approving an amendment to our 2019 Stock Incentive Plan to increase the number of shares of common stock reserved under the plan;

● Ratifying the appointment of Forvis Mazars,LLP as the Company's independent registered public accounting firm for the year ending December 31, 2025; and

● Approving, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in our 2025 Proxy Statement;

All of the persons nominated to serve on our board of directors, namely Vincent DiVito, Stephen Cotton, Steve Henderson, and Eric Gangloff were elected to our board of directors, with shares voted as follows:

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| | | | | |
|:---|:---|:---|:---|:---|
|  | Shares voted for | Shares voted for | Shares withheld | Shares withheld |
| Vincent DiVito |  | 1771032 |  | 529015 |
| Stephen Cotton |  | 2038417 |  | 261630 |
| Steve Henderson |  | 2056686 |  | 243361 |
| Eric Gangloff |  | 2054073 |  | 245974 |

---

There were 2,684,708 broker non-votes in the election of directors.

Our shareholders approved for purposes of complying with Nasdaq Listing Rule 5635(d), the potential issuance and sale of up to $10,000,000 of our common stock, pursuant to our purchase agreement with Lincoln Park Capital Fund, LLC, with shares voted as follows:

---

| | |
|:---|:---|
| Shares voted for | 2006110 |
| Shares against | 241581 |
| Shares abstaining | 52356 |

---

There were 2,684,708 broker non-votes in the approval of the purchase agreement with Lincoln Park Capital Fund, LLC.

Our shareholders approved an amendment to our First Amended and Restated Certificate of Incorporation to effect a reverse split of our issued and outstanding shares of common stock, at a specific ratio, ranging from one-for-two (1:2) to one-for-ten (1:10), with the exact ratio within such range to be determined by the Board of Directors of the Company, with shares voted as follows:

---

| | |
|:---|:---|
| Shares voted for | 4351925 |
| Shares against | 547440 |
| Shares abstaining | 85390 |

---

There were no broker non-votes in the approval of an amendment to the Company's Amended and Restated Certificate of Incorporation.

Our shareholders approved an amendment to our 2019 Stock Incentive Plan to increase the number of shares of common stock reserved under the plan, with shares voted as follows:

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| | |
|:---|:---|
| Shares voted for | 1565183 |
| Shares against | 649997 |
| Shares abstaining | 84887 |

---

------

There were 2,684,708 broker non-votes in the approval of an amendment to our 2019 Stock Incentive Plan to increase the number of shares of common stock reserved under the plan.

Our shareholders approved the appointment of Forvis Mazars, LLP as the Company's independent registered public accounting firm for the year ending December 31, 2025, with shares voted as follows:

---

| | |
|:---|:---|
| Shares voted for | 4450694 |
| Shares against | 462303 |
| Shares abstaining | 71758 |

---

There were no broker non-votes in the approval of the appointment of Forvis Mazars, LLP.

Our shareholders approved, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in our 2025 Proxy Statement, with shares voted as follows:

---

| | |
|:---|:---|
| Shares voted for | 1629971 |
| Shares against | 569042 |
| Shares abstaining | 101034 |

---

There were 2,684,708 broker non-votes in the approval, on an advisory basis, the compensation of the Company's named executive officers.

------

**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: July 24, 2025 | */s/ Eric West* |
|  | Eric West |
|  | Chief Financial Officer |

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