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Aqua Metals, Inc. – ‘POS EX’ on 9/1/22

On:  Thursday, 9/1/22, at 5:11pm ET   ·   Effective:  9/1/22   ·   Accession #:  1437749-22-21691   ·   File #:  333-267054

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/01/22  Aqua Metals, Inc.                 POS EX      9/01/22    2:51K                                    RDG Filings/FA

Post-Effective Amendment of a Registration Statement – Additional Exhibits   —   Rule 462(d)

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: POS EX      Post-Effective Amendment of a Registration          HTML     47K 
                Statement - Additional Exhibits                                  
 2: EX-23.1     Consent of Expert or Counsel                        HTML      5K 


‘POS EX’   —   Post-Effective Amendment of a Registration Statement – Additional Exhibits


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As filed with the Securities and Exchange Commission on September 1, 2022

 

 

Registration No. 333-267054

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

_______________________

 

POST-EFFECTIVE AMENDMENT NO. 1

to

FORM S-8

REGISTRATION STATEMENT

UNDER THE SECURITIES ACT OF 1933

 

Aqua Metals, Inc.

(Exact name of registrant as specified in its charter)

Delaware

47-1169572

(State or other jurisdiction of

incorporation or organization)

(I.R.S. Employer

Identification No.)

 

5370 Kietzke Lane, Suite 201

Reno, Nevada

89511

(Address of Principal Executive Offices)

(Zip Code)

_______________________

 

2019 Stock Incentive Plan

(Full title of the plan)
_______________________

 

Stephen Cotton
Chief Executive Officer
5370 Kietzke Lane, Suite 201

Reno, Nevada 89511

(Name and address of agent for service)

 

(775) 446-4418

(Telephone number, including area code, of agent for service)

 

Copy to:

 

Daniel K. Donahue

Greenberg Traurig, LLP

18565 Jamboree Road, Suite 500

Irvine, California 92612

(949) 732-6500

 

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer ☐

Accelerated filer ☐

Non-accelerated filer ☒

Smaller reporting company ☒

 

Emerging growth company ☐

 

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 7(a)(2)(B) of the Securities Act. ☐

 

 

 

EXPLANATORY NOTE

 

This Post-Effective Amendment No. 1 relates to the Registration Statement on Form S-8 (SEC File No. 333-267054) (the “Registration Statement”) filed with the Securities and Exchange Commission on August 24, 2022 by Aqua Metals, Inc., a Delaware corporation. This Post-Effective Amendment No. 1 to the Registration Statement is being filed solely for the purpose of refiling Exhibit 23.1 thereto, to correct the date of the Consent of Independent Registered Public Accounting Firm. All other portions of the Registration Statement, as previously filed, remain unchanged.  No additional securities are to be registered, and registration fees were paid upon filing of the original Registration Statement.

 

 

 

 

Item 8.         Exhibits.

 

Exhibit

No.

 

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

 

Second Amended and Restated Bylaws of the Registrant

 

Incorporated by reference from the Registrant’s Current Report on Form 8-K filed on September 27, 2018.

         

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 First Amended and Restated Certificate of Incorporation of the Registrant

 

Incorporated by reference from the Registrant’s Quarterly Report on Form 10-Q filed on May 9, 2019.

         

3.5

 

Certificate of Amendment to First Amended and Restated Certificate of Incorporation of the Registrant

 

Incorporated by reference from the Registrant’s Quarterly Report on Form 10-Q filed on July 21, 2022.

         

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.

         

5.1

 

Opinion and Consent of Greenberg Traurig, LLP

 

Previously filed.

         

23.1

 

Consent of Armanino LLP

 

Filed electronically herewith.

         

23.4

 

Consent of Greenberg Traurig, LLP

 

Previously filed.

         

24.1

 

Power of Attorney

 

Previously filed.

         

99.1

 

Aqua Metals, Inc. 2019 Stock Incentive Plan

 

Incorporated by reference from the Company’s Definitive Proxy Statement filed on April 16, 2020.

         

107

 

Filing Fee Table

 

Previously filed.

 

2

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements of filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the city of Reno, Nevada on September 1, 2022.

 

 

AQUA METALS, INC.

 

 

 

 

 

 

 

 

 

 

By:

/s/ Stephen Cotton

 

 

 

Stephen Cotton

Chief Executive Officer

 

 

Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed on September 1, 2022 by the following persons in the capacities indicated.

 

        

 

Signature    Title

 

/s/ Stephen Cotton         

 

President, Chief Executive Officer and Director (Principal

Stephen Cotton   Executive Officer)
     

  /s/ Judd Merrill         

 

Chief Financial Officer (Principal Financial and Accounting

Judd Merrill   Officer)
     
*  

Chairman of the Board

Vincent L. DiVito    
     
*  

Director

Peifang Zhang    
     
*  

Director

Edward Smith    
     

*

 

Director

David Kanen    

 

*By:

 

/s/ Stephen Cotton

   

Stephen Cotton

Attorney-in-fact

 

3

 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘POS EX’ Filing    Date    Other Filings
Filed on / Effective on:9/1/22
8/24/22S-8
7/21/2210-Q,  8-K
4/16/20DEF 14A
5/9/1910-Q,  424B5,  8-K
9/27/188-K
7/20/15CORRESP,  S-1/A
6/25/15CORRESP,  S-1/A
6/9/15CORRESP,  DRS,  S-1
 List all Filings 


8 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/24/22  Aqua Metals, Inc.                 S-8         8/24/22    4:73K                                    RDG Filings/FA
 7/21/22  Aqua Metals, Inc.                 10-Q        6/30/22   60:3.8M                                   RDG Filings/FA
 4/16/20  Aqua Metals, Inc.                 DEF 14A     5/19/20    1:2M
 5/09/19  Aqua Metals, Inc.                 10-Q        3/31/19   62:4.2M
 9/27/18  Aqua Metals, Inc.                 8-K:5,9     9/21/18    3:256K                                   M2 Compliance LLC/FA
 7/20/15  Aqua Metals, Inc.                 S-1/A                  6:3M                                     S2 Filings LLC/FA
 6/25/15  Aqua Metals, Inc.                 S-1/A                  3:2.5M                                   S2 Filings LLC/FA
 6/09/15  Aqua Metals, Inc.                 S-1                   21:4.3M                                   S2 Filings LLC/FA
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