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Filing Details

Accession Number:: 0001140361-17-002429
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-01-20 16:56:02
Reporting Period:: 2017-01-18

Filing Date:: 2017-01-20
Accepted Time:: 2017-01-20 16:56:02
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
1091823	J Randal Kirk	C/O Third Security, Llc 1881 Grove Avenue Radford VA 24141		No	No	Yes	No
1356090	Intrexon Corp	C/O Legal Department 20374 Seneca Meadows Parkway Germantown MD 20876		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2017-01-18	1,776,557	$0.00	2,740,174	No	4	J	Indirect	by Intrexon
Common Stock	Acquisiton	2017-01-18	2,421,073	$10.33	5,161,247	No	4	P	Indirect	by Intrexon
Common Stock	Acquisiton	2017-01-18	5,775	$0.00	5,775	No	4	J	Indirect	by Third Security
Common Stock	Acquisiton	2017-01-18	79,288	$0.00	79,288	No	4	J	Indirect	by R.J. Kirk DOT
Common Stock	Acquisiton	2017-01-18	4,659	$0.00	4,659	No	4	J	Indirect	by Staff 2001
Common Stock	Acquisiton	2017-01-18	20	$0.00	20	No	4	J	Indirect	by Lotus
Common Stock	Acquisiton	2017-01-18	2,080	$0.00	2,080	No	4	J	Indirect	by JPK 2008
Common Stock	Acquisiton	2017-01-18	2,095	$0.00	2,095	No	4	J	Indirect	by MGK 2008
Common Stock	Acquisiton	2017-01-18	1,708	$0.00	1,708	No	4	J	Indirect	by ZSK 2008
Common Stock	Acquisiton	2017-01-18	10,784	$0.00	10,784	No	4	J	Indirect	by JPK 2009
Common Stock	Acquisiton	2017-01-18	12,726	$0.00	12,726	No	4	J	Indirect	by MGK 2009
Common Stock	Acquisiton	2017-01-18	1,132	$0.00	1,132	No	4	J	Indirect	by ZSK 2009
Common Stock	Acquisiton	2017-01-18	12,617	$0.00	12,617	No	4	J	Indirect	by JPK 2012
Common Stock	Acquisiton	2017-01-18	2,021	$0.00	2,021	No	4	J	Indirect	by Kellie L. Banks LTT
Common Stock	Acquisiton	2017-01-18	1,770	$0.00	1,770	No	4	J	Indirect	by Senior Staff 2006
Common Stock	Acquisiton	2017-01-18	885	$0.00	885	No	4	J	Indirect	by Staff 2006
Common Stock	Acquisiton	2017-01-18	295	$0.00	295	No	4	J	Indirect	by Incentive 2006
Common Stock	Acquisiton	2017-01-18	99,537	$0.00	99,537	No	4	J	Indirect	by Kapital Joe
Common Stock	Acquisiton	2017-01-18	82,083	$0.00	82,083	No	4	J	Indirect	by Mascara Kaboom
Common Stock	Acquisiton	2017-01-18	880	$0.00	880	No	4	J	Indirect	by Sr. Staff
Common Stock	Acquisiton	2017-01-18	3,199	$0.00	3,199	No	4	J	Indirect	by ADC 2010
Common Stock	Acquisiton	2017-01-18	14,076	$0.00	14,076	No	4	J	Indirect	by MGK 2011
Common Stock	Acquisiton	2017-01-18	20,306	$0.00	20,306	No	4	J	Indirect	by Senior Staff 2008
Common Stock	Acquisiton	2017-01-18	20,306	$0.00	20,306	No	4	J	Indirect	by Staff 2010
Common Stock	Acquisiton	2017-01-18	10,153	$0.00	10,153	No	4	J	Indirect	by Incentive 2010
Common Stock	Acquisiton	2017-01-18	338,816	$0.00	338,816	No	4	J	Indirect	by NRM V
Common Stock	Acquisiton	2017-01-18	199,682	$0.00	199,682	No	4	J	Indirect	by NRM VI Holdings
Common Stock	Acquisiton	2017-01-18	3,637	$0.00	3,637	No	4	J	Indirect	by NRM VII Holdings

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	J	Indirect	by Intrexon
No	4	P	Indirect	by Intrexon
No	4	J	Indirect	by Third Security
No	4	J	Indirect	by R.J. Kirk DOT
No	4	J	Indirect	by Staff 2001
No	4	J	Indirect	by Lotus
No	4	J	Indirect	by JPK 2008
No	4	J	Indirect	by MGK 2008
No	4	J	Indirect	by ZSK 2008
No	4	J	Indirect	by JPK 2009
No	4	J	Indirect	by MGK 2009
No	4	J	Indirect	by ZSK 2009
No	4	J	Indirect	by JPK 2012
No	4	J	Indirect	by Kellie L. Banks LTT
No	4	J	Indirect	by Senior Staff 2006
No	4	J	Indirect	by Staff 2006
No	4	J	Indirect	by Incentive 2006
No	4	J	Indirect	by Kapital Joe
No	4	J	Indirect	by Mascara Kaboom
No	4	J	Indirect	by Sr. Staff
No	4	J	Indirect	by ADC 2010
No	4	J	Indirect	by MGK 2011
No	4	J	Indirect	by Senior Staff 2008
No	4	J	Indirect	by Staff 2010
No	4	J	Indirect	by Incentive 2010
No	4	J	Indirect	by NRM V
No	4	J	Indirect	by NRM VI Holdings
No	4	J	Indirect	by NRM VII Holdings

Footnotes

Intrexon Corporation ("Intrexon") declared a dividend of shares of AquaBounty Technologies, Inc. common stock held by it to its holders of record as of January 9, 2017 (the "Distribution").
In connection with the Distribution, Intrexon entered into a Stock Purchase Agreement with the issuer on November 7, 2016, pursuant to which Intrexon purchased 2,421,073 shares of common stock of the issuer in a private placement transaction on the date of the Distribution.
Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly 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.
Randal J. Kirk controls each of Third Security, R.J. Kirk DOT, Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), 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"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006") and Third Security Incentive 2006 LLC ("Incentive 2006"). 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.
Randal J. Kirk controls each of Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), New River Management V, LP ("NRM V"), NRM VI Holdings I, LLC ("NRM VI Holdings") and NRM VII Holdings I, LLC ("NRM VII Holdings"). 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.