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Filing Details

Accession Number:: 0001140361-18-002633
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-01-19 17:19:03
Reporting Period:: 2018-01-17

Accepted Time:: 2018-01-19 17:19:03
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	Acquisiton	2018-01-17	1,538,461	$3.25	6,700,738	No	4	P	Indirect	by Intrexon

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	by Intrexon

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant to Purchase Common Stock	Acquisiton	2018-01-17	1,538,461	$0.00	1,538,461	$3.25

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,538,461	2018-01-17	2023-01-17	No	4	P	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	200,519	Indirect	by R.J. Kirk DOT
Common Stock	5,775	Indirect	by Third Security
Common Stock	4,659	Indirect	by Staff 2001
Common Stock	20	Indirect	by Lotus
Common Stock	2,080	Indirect	by JPK 2008
Common Stock	2,095	Indirect	by MGK 2008
Common Stock	1,708	Indirect	by ZSK 2008
Common Stock	10,784	Indirect	by JPK 2009
Common Stock	12,726	Indirect	by MGK 2009
Common Stock	1,132	Indirect	by ZSK 2009
Common Stock	12,617	Indirect	by JPK 2012
Common Stock	2,021	Indirect	by Kellie L. Banks LTT
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	82,083	Indirect	by Mascara Kaboom
Common Stock	880	Indirect	by Sr. Staff
Common Stock	3,199	Indirect	by ADC 2010
Common Stock	14,076	Indirect	by MGK 2011
Common Stock	20,306	Indirect	by Senior Staff 2008
Common Stock	20,306	Indirect	by Staff 2010
Common Stock	10,153	Indirect	by Incentive 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

Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("Intrexon") and serves as Intrexon's Chairman of the Board and Chief Executive Officer. 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 the R.J. Kirk Declaration of Trust "(R.J. Kirk DOT"), Third Security, LLC, ("Third Security"), 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 ("ADC2010"), 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"), 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.
The indicated number of warrants to purchase common stock of the issuer were received in connection with the purchase of common stock in an underwritten public offering of the issuer, which closed on January 17, 2018 (the "Offering"). In the Offering, each share of common stock was sold together with a warrant to purchase one share of common stock at a combined effective price of $3.25 per share and accompanying common warrant.