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Filing Details

Accession Number:: 0001209191-22-061151
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-12-14 15:28:35
Reporting Period:: 2022-12-13

Accepted Time:: 2022-12-14 15:28:35
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
1191624	A David Frank	C/O Aquabounty Technologies, Inc. 2 Mill &Amp; Main Place, Suite 395 Maynard MA 01754	Chief Financial Officer	No	Yes	No	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	2022-12-13	10,000	$0.65	10,000	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership
Common Stock	43,000	Direct
Common Stock	14,660	Direct
Common Stock	5,914	Direct
Common Stock	8,977	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Options to Purchase Common Stock	$6.90	2014-01-11	2021-01-11	5,000	5,000	Direct
Common Stock	Options to Purchase Common Stock	$7.50	2016-04-27	2023-04-27	6,667	6,667	Direct
Common Stock	Options to Purchase Common Stock	$23.40	2017-01-20	2024-01-20	6,667	6,667	Direct
Common Stock	Options to Purchase Common Stock	$14.20	2020-02-27	2027-04-21	10,000	10,000	Direct
Common Stock	Options to Purchase Common Stock	$2.50	2019-02-27	2028-02-27	15,152	15,152	Direct
Common Stock	Options to Purchase Common Stock	$2.22	2020-04-30	2029-04-30	20,000	20,000	Direct
Common Stock	Options to Purchase Common Stock	$1.88	2023-03-12	2030-03-12	12,827	12,827	Direct
Common Stock	Options to Purchase Common Stock	$6.72	2024-03-10	2031-03-10	5,175	5,175	Direct
Common Stock	Options to Purchase Common Stock	$1.52	2025-03-14	2032-03-14	23,564	23,564	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-01-11	5,000	5,000	Direct
2023-04-27	6,667	6,667	Direct
2024-01-20	6,667	6,667	Direct
2027-04-21	10,000	10,000	Direct
2028-02-27	15,152	15,152	Direct
2029-04-30	20,000	20,000	Direct
2030-03-12	12,827	12,827	Direct
2031-03-10	5,175	5,175	Direct
2032-03-14	23,564	23,564	Direct

Footnotes

Award of restricted stock granted on 3/12/2020 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
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
Award of restricted stock granted on 3/14/2022 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
Purchase 10,000 shares at $.65 12/13/2022
Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The price reflects the reverse stock split.
Options to purchase common stock were granted on 1/11/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have expired.
Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The number of shares reflects the reverse stock split.
Options to purchase common stock were granted on 4/27/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
Options to purchase common stock were granted on 1/20/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
Options to purchase common stock were granted on 3/5/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years from the date of grant.
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 from the date of grant.
Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan andfully vest three years from the date of grant