Filing Details

Accession Number:
0001567619-20-015097
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-08-13 16:19:04
Reporting Period:
2020-08-11
Accepted Time:
2020-08-13 16:19:04
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1603978 Aquabounty Technologies Inc. AQB Fishing, Hunting And Trapping (900) 043156167
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1810928 Alana Czypinski 1881 Grove Avenue
Attn: Legal Department
Radford VA 24141
Yes No Yes 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 4,000,000 $2.50 9,175,000 No 4 P Indirect by TS Biotechnology
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect by TS Biotechnology
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,159 Direct
Common Stock 0 Indirect by Mascara Kaboom
Common Stock 246,403 Indirect by R.J. Kirk DOT
Common Stock 3,147 Indirect by JPK 2008
Common Stock 3,162 Indirect by MGK 2008
Common Stock 2,693 Indirect by ZSK 2008
Common Stock 18,582 Indirect by JPK 2009
Common Stock 21,755 Indirect by MGK 2009
Common Stock 1,953 Indirect by ZSK 2009
Common Stock 17,606 Indirect by MGK 2011
Common Stock 15,818 Indirect by JPK 2012
Common Stock 2,514 Indirect by Kellie L. Banks LTT
Common Stock 23,589 Indirect by Senior Staff 2008
Common Stock 23,589 Indirect by Staff 2010
Common Stock 11,795 Indirect by Incentive 2010
Common Stock 8,239,199 Indirect by TS AquaCulture
Common Stock 5,775 Indirect by Third Security
Common Stock 4,659 Indirect by Staff 2001
Common Stock 20 Indirect by Lotus
Common Stock 1,770 Indirect by Senior Staff 2006
Common Stock 885 Indirect by Staff 2006
Common Stock 295 Indirect by Incentive 2006
Common Stock 99,537 Indirect by Kapital Joe
Common Stock 880 Indirect by Senior Staff
Common Stock 3,199 Indirect by ADC 2010
Common Stock 199,682 Indirect by NRM VI Holdings
Common Stock 3,637 Indirect by NRM VII Holdings
Common Stock 124,609 Indirect by TSCP V
Footnotes
  1. The Reporting Person's spouse, Randal J. Kirk, controls each of TS Biotechnology Holdings, LLC ("TS Biotechnology"), Mascara Kaboom, LLC ("Mascara Kaboom"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC, Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), and Third Security Incentive 2010 LLC ("Incentive 2010"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
  2. The Reporting Person's spouse, Randal J. Kirk, controls each of TS AquaCulture LLC ("TS AquaCulture"), Third Security, LLC ("Third Security"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), Kapital Joe, LLC ("Kapital Joe"), Third Security Senior Staff LLC ("Senior Staff"), ADC 2010 LLC ("ADC 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings"), NRM VII Holdings I, LLC ("NRM VII Holdings"), and Third Security Capital Partners V, LLC ("TSCP V"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
  3. On May 1, 2020, the manager of Mascara Kaboom elected to dissolve and terminate the company, and distribute the assets of the company to its members, all of which are controlled by the Reporting Person's spouse, Randal J. Kirk, in accordance with the company's Operating Agreement, dated October 25, 2012. In connection with this dissolution, Mascara Kaboom distributed 82,083 shares of issuer common stock to each of its members: R.J. Kirk DOT (45,884), JPK 2008 (1,067), MGK 2008 (1,067), ZSK 2008 (985), JPK 2009 (7,798), MGK 2009 (9,029), ZSK 2009 (821), JPK 2012 (3,201), Kellie L. Banks LTT (493), MGK 2011 (3,530), Senior Staff 2008 (3,283), Staff 2010 (3,283), and Incentive 2010 (1,642).