AQMS · Aqua Metals, Inc. · Shareholders & Ownership
Substantial doubt about the company's ability to continue as a going concern.
“Management believes that the Company's capital resources remain insufficient to sustain operations through at least the next twelve months from the date of this filing. Additionally, in view of the Company's expectation to incur significant losses and continue utilizing cash in operations for the foreseeable future, the Company will be required to raise additional capital resources in order to fund its operations, although the availability of, and the Company's access to such resources, cannot be assured. Accordingly, management believes that there is substantial doubt regarding the Company's ability to continue operating as a going concern through the next twelve months from the date of this filing.”View the 10-Q filed Jul 30, 2026
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Every disclosed holder of AQMS in one list: 13F institutions, Schedule 13D and 13G filers, insiders (Forms 3, 4 and 5) and registered funds, each from its own latest filing. Holders nest by CIK and SEC reporting links, never by name, and each is summed once.
Who Owns AQMS
13F quarter Sep 30, 2026, combined view: filers that have not filed yet carry their Jun 30, 2026 positions| Holder group | Shares | % Out |
|---|---|---|
| Institutional (13F) | 297,535 | 8.35% |
| Insiders (Forms 3, 4, 5) | 659,535 | 18.51% |
| 13D/G-only blocks | 83,953 | 2.36% |
| Remaining | 2,522,508 | 70.79% |
| Registered funds (N-PORT, not summed) | 66,445 | 1.86% |
Shares outstanding: 3,563,531, the issuer's latest cover-page count restated onto today's split basis.
13D/G-only counts each filer's latest 13D or 13G that no 13F report of the listing contains, that names no 13F filer and that no counted insider files. Funds are never summed: their shares sit inside their advisers' 13F reports.
Holders of AQMS
| # | Holder | Shares | As of | Notes |
|---|---|---|---|---|
| 1 |
|
351,742 | ||
| 2 |
|
112,196 | ||
| 3 |
STIFEL FINANCIAL CORP
13F
CIK 720672 · Unknown · Sep 30, 2026
|
100,654 | ||
| 4 |
|
96,987 | ||
| 5 |
Alex Cushner
13G
CIK 1540172 · Investment adviser · Dec 31, 2024
Rule 13d-1(b), qualified institution
|
83,403 | ||
| 6 |
HAMILTON CAPITAL PARTNERS, LLC
13F
CIK 2037578 · Registered investment adviser · Sep 30, 2026
|
62,204 | ||
| 7 |
GEODE CAPITAL MANAGEMENT, LLC
13F
CIK 1214717 · Registered investment adviser · Sep 30, 2026
|
33,650 | ||
| 8 |
PRICE T ROWE ASSOCIATES INC /MD/
13F
CIK 80255 · Registered investment adviser · Jun 30, 2026
carried, not yet filed for the newest quarter
|
29,337 | ||
| 8.1 |
T. Rowe Price Extended Equity Market Index Fund
Fund
S000002090 · Registered fund · Jun 30, 2026
T. ROWE PRICE INDEX TRUST, INC., not summed
|
8,900 | ||
| 9 |
VANGUARD CAPITAL MANAGEMENT LLC
13F
CIK 2100119 · Registered investment adviser · Jun 30, 2026
carried, not yet filed for the newest quarter
|
29,215 | ||
| 10 |
VANGUARD EXTENDED MARKET INDEX FUND
Fund
S000002841 · Registered fund · Jun 30, 2026
VANGUARD INDEX FUNDS, not summed
|
29,215 | ||
| 11 |
|
26,402 | ||
| 12 |
|
24,412 | ||
| 13 |
|
22,347 | ||
| 14 |
Fidelity Extended Market Index Fund
Fund
S000006021 · Registered fund · Aug 31, 2026
Fidelity Concord Street Trust, not summed
|
17,459 | ||
| 15 |
|
16,840 | ||
| 16 |
Kingsbury Capital Investment Advisors LLC
13F
CIK 1927315 · Unknown · Sep 30, 2026
|
16,061 | ||
| 17 |
VANGUARD FIDUCIARY TRUST CO
13F
CIK 933478 · Unknown · Jun 30, 2026
carried, not yet filed for the newest quarter
|
15,587 | ||
| 18 |
|
8,609 | ||
| 19 |
Fidelity Series Total Market Index Fund
Fund
S000065248 · Registered fund · Aug 31, 2026
Fidelity Concord Street Trust, not summed
|
5,055 | ||
| 20 |
Fidelity Total Market Index Fund
Fund
S000006026 · Registered fund · Aug 31, 2026
Fidelity Concord Street Trust, not summed
|
5,050 | ||
| 21 |
BlackRock, Inc.
13F
CIK 2012383 · Holding company · Jun 30, 2026
carried, not yet filed for the newest quarter
|
4,849 | ||
| 22 |
Arax Advisory Partners
13F
CIK 1586767 · Registered investment adviser · Sep 30, 2026
|
1,295 | ||
| 23 |
UBS Group AG
13F
CIK 1610520 · Bank · Sep 30, 2026
|
1,200 | ||
| 24 |
Farther Finance Advisors, LLC
13F
CIK 1992825 · Registered investment adviser · Sep 30, 2026
|
966 | ||
| 25 |
U.S. Social Core Equity 2 Portfolio
Fund
S000018154 · Registered fund · Jul 31, 2026
DFA INVESTMENT DIMENSIONS GROUP INC, not summed
|
766 | ||
| 26 |
BAIRD ROBERT W & CO INC /WI/
13G
CIK 810972 · Registered investment adviser · Dec 31, 2025
Rule 13d-1(b), qualified institution
|
550 | ||
| 27 |
WELLS FARGO & COMPANY/MN
13F
CIK 72971 · Bank · Jun 30, 2026
carried, not yet filed for the newest quarter
|
500 | ||
| 28 |
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO
13F
CIK 1141802 · Unknown · Jun 30, 2026
carried, not yet filed for the newest quarter
|
312 | ||
| 29 |
ROYAL BANK OF CANADA
13F
CIK 1000275 · Bank · Jun 30, 2026
carried, not yet filed for the newest quarter
|
302 | ||
| 30 |
MORGAN STANLEY
13F
CIK 895421 · Holding company · Jun 30, 2026
carried, not yet filed for the newest quarter
|
294 | ||
| 31 |
NBC SECURITIES, INC.
13F
CIK 791540 · Registered investment adviser · Sep 30, 2026
|
200 | ||
| 32 |
Elevated Capital Advisors, LLC
13F
CIK 1802387 · Registered investment adviser · Sep 30, 2026
|
171 | ||
| 33 |
JONES FINANCIAL COMPANIES LLLP
13F
CIK 815917 · Unknown · Jun 30, 2026
carried, not yet filed for the newest quarter
|
162 | ||
| 34 |
Vanguard Global Advisers, LLC
13F
CIK 1811242 · Registered investment adviser · Jun 30, 2026
carried, not yet filed for the newest quarter
|
133 | ||
| 35 |
Skandinaviska Enskilda Banken AB (publ)
13F
CIK 1534653 · Non-US institution · Sep 30, 2026
|
126 | ||
| 36 |
OSAIC HOLDINGS, INC.
13F
CIK 1677044 · Holding company · Sep 30, 2026
|
103 | ||
| 37 |
SBI Securities Co., Ltd.
13F
CIK 1851815 · Non-US institution · Sep 30, 2026
|
101 | ||
| 38 |
Raiffeisen Bank International AG
13F
CIK 2044885 · Unknown · Sep 30, 2026
|
55 | ||
| 39 |
Center for Financial Planning, Inc.
13F
CIK 1803557 · Registered investment adviser · Sep 30, 2026
|
22 | ||
| 40 |
HUNTINGTON NATIONAL BANK
13F
CIK 49205 · Unknown · Sep 30, 2026
|
10 | ||
| 41 |
HARBOUR INVESTMENTS, INC.
13F
CIK 810121 · Registered investment adviser · Sep 30, 2026
|
6 | ||
| 42 |
Jacobi Capital Management LLC
13F
CIK 1689646 · Registered investment adviser · Sep 30, 2026
|
5 | ||
| 43 |
SHP Wealth Management
13F
CIK 1807060 · Registered investment adviser · Jun 30, 2026
carried, not yet filed for the newest quarter
|
5 | ||
| 44 |
DANSKE BANK A/S
13F
CIK 800177 · Bank · Sep 30, 2026
|
3 | ||
| 45 |
BARCLAYS PLC
13F
CIK 312069 · Bank · Sep 30, 2026
|
2 | ||
| 46 |
Hilton Head Capital Partners, LLC
13F
CIK 2109913 · Unknown · Sep 30, 2026
|
2 | ||
| 47 |
Allworth Financial LP
13F
CIK 1555170 · Unknown · Sep 30, 2026
|
1 | ||
| 48 |
Caitong International Asset Management Co., Ltd
13F
CIK 1963355 · Unknown · Sep 30, 2026
|
1 | ||
| 49 |
CITIGROUP INC
13F
CIK 831001 · Bank · Sep 30, 2026
|
1 |
Shares are restated onto today's split basis. Change compares each row with the same holder's previous filing in the same source; a dash means there is none to compare. Nested 13D/G, insider and fund rows are not summed, since a 13F report already holds them.