As filed with the Securities and Exchange Commission on August 14, 2024
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF 1933
Aqua Metals, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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47-1169572
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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5370 Kietzke Lane, Suite 201
Reno, Nevada
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89511
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(Address of Principal Executive Offices)
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(Zip Code)
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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.
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Large accelerated filer ☐
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Accelerated filer ☐
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Non-accelerated filer ☒
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Smaller reporting company ☒
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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 Registration Statement on Form S-8 is being filed by Aqua Metals, Inc (the “Company”) for the purpose of registering an additional 9,500,000 shares of the Company’s Common Stock that became reserved for issuance as a result of stockholder approval on May 23, 2024. These additional shares of the Company’s Common Stock are securities of the same class as other securities for which an original Registration Statement on Form S-8 was filed with the Securities and Exchange Commission (the “Commission”) on June 14, 2019 (File No. 333-232148). Pursuant to General Instruction E to Form S-8, this Registration Statement hereby incorporates by reference the contents of such prior Registration Statement.
PART II
INFORMATION REQUIRED
IN THE REGISTRATION STATEMENT
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Item 3.
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Incorporation of Certain Documents by Reference
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The following documents filed by the Company with the Commission are incorporated by reference into this Registration Statement:
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(a)
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The Company’s Annual Report on Form 10-K for the fiscal year ended December 31, 2023, which was filed on March 28, 2024;
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(b)
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The Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024 and June 30, 2024, which were filed on May 15, 2024 and August 14, 2024, respectively;
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(d)
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The description of the Company’s common stock in its Form 8-A12B, which was filed on July 24, 2015, and any amendments or reports filed for the purpose of updating this description; and
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(e)
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All reports and other documents subsequently filed by the Company pursuant to Sections 13(a), 13(c), 14 and 15(d) of the Exchange Act prior to the filing of a post-effective amendment which indicates that all securities offered have been sold or which deregisters all securities then remaining unsold.
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Item 8. Exhibits.
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 August 14, 2024.
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AQUA METALS, INC.
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By:
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/s/ Stephen Cotton
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Stephen Cotton
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Chief Executive Officer
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POWER OF ATTORNEY
Each person whose signature appears below hereby constitutes and appoints Stephen Cotton and Judd Merrill, and each of them, as such person’s true and lawful attorney-in-fact and agent, each with full powers of substitution and re-substitution, for such person and in such person’s name, place and stead, in any and all capacities, to sign any or all amendments (including post effective amendments) to this Registration Statement, and to file the same, with all exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite or necessary to be done in and about the premises, as fully to all intents and purposes as such person might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent or his or her substitute or substitutes, may lawfully do or cause to be done by virtue thereof.
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed on August 14, 2024 by the following persons in the capacities indicated.
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Title |
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| /s/ Stephen Cotton |
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Stephen Cotton
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President, Chief Executive Officer and Director (Principal
Executive Officer)
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| /s/ Judd Merrill |
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Judd Merrill
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Chief Financial Officer (Principal Financial and Accounting Officer)
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/s/ Vincent L. DiVito
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Chairman of the Board
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| Vincent L. DiVito |
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/s/ Peifang Zhang
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Director
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| Peifang Zhang |
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/s/ Edward Smith
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Director
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| Edward Smith |
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3
Exhibit 5.1
GREENBERG TRAURIG, LLP
18565 Jamboree Road, Suite 500
Irvine, CA 92612
August 14, 2024
Aqua Metals, Inc.
5370 Kietzke Lane, Suite 201
Reno, Nevada 89511
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Re:
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Registration Statement on Form S‑8
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Ladies and Gentlemen:
We have acted as counsel to Aqua Metals, Inc. (the “Company”) in connection with its Registration Statement on Form S-8, as may be amended and supplemented from time to time (the “Registration Statement”), filed with the Securities and Exchange Commission under the Securities Act of 1933, as amended, in connection with the registration by the Company of 9,500,000 shares (the “Shares”) of common stock, $0.001 par value per share (the “Common Stock”), of the Company issuable under the Company’s 2019 Stock Incentive Plan.
For purposes of rendering this opinion, we have examined originals or copies of such documents and records as we have deemed appropriate. In conducting such examination, we have assumed the genuineness of all signatures and the authenticity of all documents submitted to us as originals and conformity to original documents of all documents submitted to us as copies.
Based upon and subject to the foregoing and the effect, if any, of the matters discussed below, after having given due regard to such issues of law as we deemed relevant, we are of the opinion that the Shares, when issued, delivered and paid for in accordance with the relevant plan and the terms of the individual option agreements and stock agreements, as applicable, will be legally issued, fully paid and non-assessable.
We are furnishing this opinion to the Company solely in connection with the Registration Statement. This opinion may not be relied on by, nor copies delivered to, any other person or entity without our prior written consent. Notwithstanding the preceding sentence we hereby consent to the filing of this opinion as an exhibit to the Registration Statement and to its use as part of the Registration Statement.
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Very truly yours,
/s/ GREENBERG TRAURIG, LLP
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EXHIBIT 23.1
Consent of Independent Registered Public Accounting Firm
We consent to the incorporation by reference in this Registration Statement on Form S-8 of Aqua Metals, Inc. of our report dated March 28, 2024, with respect to the consolidated financial statements of Aqua Metals, Inc., included in the Annual Report on Form 10-K of Aqua Metals, Inc. for the year ended December 31, 2023. Our report contains an explanatory paragraph describing conditions that raise substantial doubt about Aqua Metals Inc.'s ability to continue as a going concern. The consolidated financial statements do not include any adjustments that might result from the outcome of this uncertainty.
/s/ Forvis Mazars, LLP
New York, New York
August 14, 2024
Exhibit 23.2
Consent of Independent Registered Public Accounting Firm
We hereby consent to the incorporation by reference in the Registration Statement on Form S-8 of our report dated March 9, 2023 relating to the consolidated financial statements of Aqua Metals, Inc. (the “Company”), which report appears in the Company’s 2023 Annual Report on Form 10-K.
/s/ Armanino LLP
San Ramon, California
August 14, 2024
Exhibit 107
Calculation of Filing Fee Tables
Form S-8
(Form Type)
Aqua Metals, Inc.
(Exact Name of Registrant as Specified in its Charter)
Table 1: Newly Registered Securities
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Security
Type
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Security
Class
Title
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Fee
Calculation
Rule
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Amount
Registered (a)
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Proposed
Maximum
Offering
Price Per
Unit (b)
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Maximum
Aggregate
Offering
Price (b)
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Fee Rate
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Amount of
Registration
Fee
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Fees to Be
Paid
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Equity
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Common stock
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457(h)(1)
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9,500,000
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$0.2020
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$1,919,000
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.0001476
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$283.24
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Total Offering Amounts
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$283.24
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Total Fee Offsets
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--
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Net Fee Due
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$283.24
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(a) In accordance with Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall be deemed to cover an indeterminate number of additional shares of Common Stock to be offered or issued from stock splits, stock dividends or similar transactions.
(b) Estimated solely for the purpose of calculating the amount of the registration fee and calculated pursuant to Rule 457(h)(1) under the Securities Act.
Aqua Metals (NASDAQ:AQMS)
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Aqua Metals (NASDAQ:AQMS)
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から 8 2023 まで 8 2024
