| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AQMS | Common Stock | Tax liability | -$253K | -209K | -4.31% | $1.21 | 4.64M | Jul 3, 2023 | Direct | F1, F2 |
| transaction | AQMS | Common Stock | Disposed to Issuer | -$72.3K | -62.4K | -1.34% | $1.16 | 4.58M | Jul 5, 2023 | Direct | F2, F3 |
| transaction | AQMS | Common Stock | Disposed to Issuer | -$41.8K | -37.6K | -0.82% | $1.11 | 4.54M | Jul 6, 2023 | Direct | F2, F3 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Represents the number of shares withheld and returned to the plan to cover the tax liability of the July 3, 2023 vesting of a previously reported restricted share grant represented in Table I. |
| F2 | Includes 1,581,703 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. |
| F3 | Represents the number of shares sold by the Reporting Person under a 10b5-1 plan. Adoption date of referenced 10b5-1(c) plan is: 12-28-2022 |