Filing Details
- Accession Number:
- 0001567619-21-021154
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-24 16:01:07
- Reporting Period:
- 2021-11-23
- Accepted Time:
- 2021-11-24 16:01:07
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2021-11-23 | 4,742,552 | $2.10 | 1,965,386 | No | 4 | S | Indirect | by R.J. Kirk DOT |
| Common Stock | Disposition | 2021-11-23 | 278,618 | $2.10 | 115,463 | No | 4 | S | Indirect | by JPK 2008 |
| Common Stock | Disposition | 2021-11-23 | 279,121 | $2.10 | 115,672 | No | 4 | S | Indirect | by MGK 2008 |
| Common Stock | Disposition | 2021-11-23 | 280,018 | $2.10 | 116,044 | No | 4 | S | Indirect | by ZSK 2008 |
| Common Stock | Disposition | 2021-11-23 | 980,473 | $2.10 | 331,318 | No | 4 | S | Indirect | by JPK 2009 |
| Common Stock | Disposition | 2021-11-23 | 1,002,663 | $2.10 | 340,514 | No | 4 | S | Indirect | by MGK 2009 |
| Common Stock | Disposition | 2021-11-23 | 54,462 | $2.10 | 22,570 | No | 4 | S | Indirect | by ZSK 2009 |
| Common Stock | Disposition | 2021-11-23 | 2,262 | $2.10 | 937 | No | 4 | S | Indirect | by ADC 2010 |
| Common Stock | Disposition | 2021-11-23 | 249,384 | $2.10 | 103,349 | No | 4 | S | Indirect | by MGK 2011 |
| Common Stock | Disposition | 2021-11-23 | 444,702 | $2.10 | 184,291 | No | 4 | S | Indirect | by JPK 2012 |
| Common Stock | Disposition | 2021-11-23 | 53,028 | $2.10 | 21,976 | No | 4 | S | Indirect | by Kellie L. Banks LTT |
| Common Stock | Disposition | 2021-11-23 | 4,269,495 | $2.10 | 1,769,343 | No | 4 | S | Indirect | by Sunset 2020 |
| Common Stock | Disposition | 2021-11-23 | 67,291 | $2.10 | 27,886 | No | 4 | S | Indirect | by Kapital Joe |
| Common Stock | Disposition | 2021-11-23 | 14 | $2.10 | 6 | No | 4 | S | Indirect | by Lotus |
| Common Stock | Disposition | 2021-11-23 | 3,294 | $2.10 | 1,365 | No | 4 | S | Indirect | by Staff 2001 |
| Common Stock | Disposition | 2021-11-23 | 1,251 | $2.10 | 519 | No | 4 | S | Indirect | by Sr. Staff 2006 |
| Common Stock | Disposition | 2021-11-23 | 626 | $2.10 | 259 | No | 4 | S | Indirect | by Staff 2006 |
| Common Stock | Disposition | 2021-11-23 | 209 | $2.10 | 86 | No | 4 | S | Indirect | by Inc 2006 |
| Common Stock | Disposition | 2021-11-23 | 52,859 | $2.10 | 21,906 | No | 4 | S | Indirect | by Sr. Staff 2007 |
| Common Stock | Disposition | 2021-11-23 | 26,430 | $2.10 | 10,953 | No | 4 | S | Indirect | by Staff 2007 |
| Common Stock | Disposition | 2021-11-23 | 8,810 | $2.10 | 3,651 | No | 4 | S | Indirect | by Inc 2007 |
| Common Stock | Disposition | 2021-11-23 | 33,347 | $2.10 | 13,562 | No | 4 | S | Indirect | by Sr. Staff 2008 |
| Common Stock | Disposition | 2021-11-23 | 14,644 | $2.10 | 6,068 | No | 4 | S | Indirect | by Staff 2009 |
| Common Stock | Disposition | 2021-11-23 | 7,323 | $2.10 | 3,035 | No | 4 | S | Indirect | by Inc 2009 |
| Common Stock | Disposition | 2021-11-23 | 18,082 | $2.10 | 7,493 | No | 4 | S | Indirect | by Staff 2010 |
| Common Stock | Disposition | 2021-11-23 | 9,042 | $2.10 | 3,747 | No | 4 | S | Indirect | by Inc 2010 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | by R.J. Kirk DOT |
| No | 4 | S | Indirect | by JPK 2008 |
| No | 4 | S | Indirect | by MGK 2008 |
| No | 4 | S | Indirect | by ZSK 2008 |
| No | 4 | S | Indirect | by JPK 2009 |
| No | 4 | S | Indirect | by MGK 2009 |
| No | 4 | S | Indirect | by ZSK 2009 |
| No | 4 | S | Indirect | by ADC 2010 |
| No | 4 | S | Indirect | by MGK 2011 |
| No | 4 | S | Indirect | by JPK 2012 |
| No | 4 | S | Indirect | by Kellie L. Banks LTT |
| No | 4 | S | Indirect | by Sunset 2020 |
| No | 4 | S | Indirect | by Kapital Joe |
| No | 4 | S | Indirect | by Lotus |
| No | 4 | S | Indirect | by Staff 2001 |
| No | 4 | S | Indirect | by Sr. Staff 2006 |
| No | 4 | S | Indirect | by Staff 2006 |
| No | 4 | S | Indirect | by Inc 2006 |
| No | 4 | S | Indirect | by Sr. Staff 2007 |
| No | 4 | S | Indirect | by Staff 2007 |
| No | 4 | S | Indirect | by Inc 2007 |
| No | 4 | S | Indirect | by Sr. Staff 2008 |
| No | 4 | S | Indirect | by Staff 2009 |
| No | 4 | S | Indirect | by Inc 2009 |
| No | 4 | S | Indirect | by Staff 2010 |
| No | 4 | S | Indirect | by Inc 2010 |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 258 | Indirect | by Sr. Staff |
| Common Stock | 75,004 | Indirect | by Sr. Staff 2015 |
| Common Stock | 75,004 | Indirect | by Staff 2015 |
| Common Stock | 2,159 | Indirect | by Spouse |
Footnotes
- On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.
- Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ 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"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 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.
- Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). 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 shares reflects internal transfers among certain affiliated entities that own issuer common stock.
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