Current Report Filing (8-k)
January 05 2018 - 5:10AM
Edgar (US Regulatory)
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 5, 2018
AQUA
METALS, INC.
(Exact
Name of Registrant as Specified in Its Charter)
Delaware
|
|
001-37515
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47-1169572
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(State
or Other Jurisdiction of Incorporation)
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(Commission
File Number)
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(I.R.S.
Employer Identification Number)
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1010
Atlantic Avenue
Alameda,
California 94501
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(Address of principal
executive offices)
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(510)
479-7635
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(Registrant’s
telephone number, including area code)
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(Former
name or former address, if changed since last report)
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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.
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☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14d-2(b)
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☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)
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☐
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)
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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 ☒
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. ☒
Item 7.01 Regulation FD Disclosure
.
The
following purported class action lawsuits were filed in
the United Stated District Court for the Northern District California
against Aqua Metals, Inc., Stephen R. Clarke, Thomas Murphy and Mark Weinswig:
Arlis Hampton vs. Aqua Metals, Inc. et al.
,
Case No 3:17-cv-07142;
Grant Heath vs. Aqua Metals, Inc. et al
., Case No 3:17-cv-07196-JST;
Lotfy Arbab vs. Aqua Metals,
Inc. et al
., Case No 3:17-cv-07270WHA. Each of the complaints was filed by persons claiming to be stockholders of Aqua Metals
and generally allege violations of the anti-fraud provisions of the federal securities laws based on the alleged issuance of false
and misleading statements of material fact, and the alleged omission to state material facts necessary to make other statements
made not misleading, between May 19, 2016 and November 9, 2017 with respect to Aqua Metals’ lead recycling operations. The
complaints seek unspecified damages and plaintiffs’ attorneys’ fees and costs.
Aqua Metals, Inc. denies
that the claims have any merit and it intends to vigorously defend the actions.
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.
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Dated: January 5, 2018
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/s/
Stephen R. Clarke
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Stephen R. Clarke
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Chief Executive Officer
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