Filing Details

Accession Number:
0001603978-20-000111
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-08-11 17:29:16
Reporting Period:
2020-08-11
Accepted Time:
2020-08-11 17:29:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1603978 Aquabounty Technologies Inc. AQB () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1189647 L Richard Huber C/o Aquabounty Technologies, Inc.
2 Mill & Main Place, Suite 395
Maynard MA 01754
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-08-11 40,000 $2.50 61,311 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options to Purchase Common Stock $9.60 2011-11-01 2020-11-01 800 800 Direct
Common Stock Options to Purchase Common Stock $3.30 2012-07-01 2021-07-01 800 800 Direct
Common Stock Options to Purchase Common Stock $3.60 2013-07-01 2022-07-01 800 800 Direct
Common Stock Options to Purchase Common Stock $10.50 2014-07-01 2023-07-01 800 800 Direct
Common Stock Options to Purchase Common Stock $10.80 2015-07-01 2024-07-01 800 800 Direct
Common Stock Options to Purchase Common Stock $5.70 2016-02-26 2025-02-26 2,500 2,500 Direct
Common Stock Options to Purchase Common Stock $9.60 2017-03-01 2026-03-01 2,500 2,500 Direct
Common Stock Options to Purchase Common Stock $14.20 2018-02-27 2027-04-21 2,500 2,500 Direct
Common Stock Options to Purchase Common Stock $2.50 2019-02-27 2028-02-27 2,500 2,500 Direct
Common Stock Options to Purchase Common Stock $2.11 2020-03-05 2029-03-05 2,500 2,500 Direct
Common Stock Options to Purchase Common Stock $1.88 2021-03-12 2030-03-12 2,500 2,500 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-11-01 800 800 Direct
2021-07-01 800 800 Direct
2022-07-01 800 800 Direct
2023-07-01 800 800 Direct
2024-07-01 800 800 Direct
2025-02-26 2,500 2,500 Direct
2026-03-01 2,500 2,500 Direct
2027-04-21 2,500 2,500 Direct
2028-02-27 2,500 2,500 Direct
2029-03-05 2,500 2,500 Direct
2030-03-12 2,500 2,500 Direct
Footnotes
  1. Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The price reflects the reverse stock split.
  2. Options to purchase common stock were granted on 11/1/2010 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  3. Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The number of shares reflects the reverse stock split.
  4. Options to purchase common stock were granted on 7/1/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  5. Options to purchase common stock were granted on 7/1/2012 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  6. Options to purchase common stock were granted on 7/1/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  7. Options to purchase common stock were granted on 7/1/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  8. Options to purchase common stock were granted on 2/26/2015 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  9. Options to purchase common stock were granted on 3/1/2016 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
  10. Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
  11. Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
  12. Options to purchase common stock were granted on 3/5/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
  13. Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year from the date of grant.