Filing Details
- Accession Number:
- 0001209191-21-019906
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-11 18:10:36
- Reporting Period:
- 2021-03-10
- Accepted Time:
- 2021-03-11 18:10:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1793345 | M Angela Olsen | C/O Aquabounty Technologies, Inc. 2 Mill &Amp; Main Place, Suite 395 Maynard MA 01754 | General Counsel & Corp Sec | No | Yes | 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 | 2021-03-10 | 5,938 | $0.00 | 5,938 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | Acquisiton | 2021-03-10 | 5,195 | $0.00 | 5,195 | $6.72 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 5,195 | 2024-03-10 | 2031-03-10 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 30,043 | 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 | $2.33 | 2020-11-01 | 2029-11-01 | 35,000 | 35,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2029-11-01 | 35,000 | 35,000 | Direct |
Footnotes
- Award of restricted stock pursuant to the Issuer's 2016 Equity Incentive Plan that fully vested on October 31, 2020.
- Award of restricted stock granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant.
- Options to purchase common stock were granted on 11/1/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vested October 31, 2020.
- Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant.
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