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Filing Details

Accession Number:: 0001567619-20-015095
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-08-13 16:13:14
Reporting Period:: 2020-08-11

Accepted Time:: 2020-08-13 16:13:14
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

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	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	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
Common Stock	2,159	Indirect	by Spouse

Footnotes

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.
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.
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 Mr. 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).