0001209191-21-019898.txt : 20210311 0001209191-21-019898.hdr.sgml : 20210311 20210311180612 ACCESSION NUMBER: 0001209191-21-019898 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210311 DATE AS OF CHANGE: 20210311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANK DAVID A CENTRAL INDEX KEY: 0001191624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36426 FILM NUMBER: 21734605 MAIL ADDRESS: STREET 1: 2 MILL & MAIN PLACE, SUITE 395 CITY: MAYNARD STATE: MA ZIP: 01754 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AquaBounty Technologies, Inc. CENTRAL INDEX KEY: 0001603978 STANDARD INDUSTRIAL CLASSIFICATION: FISHING, HUNTING & TRAPPING [0900] IRS NUMBER: 043156167 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO CLOCK TOWER PLACE STREET 2: SUITE 395 CITY: MAYNARD STATE: MA ZIP: 01754 BUSINESS PHONE: 978-648-6000 MAIL ADDRESS: STREET 1: TWO CLOCK TOWER PLACE STREET 2: SUITE 395 CITY: MAYNARD STATE: MA ZIP: 01754 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-10 0 0001603978 AquaBounty Technologies, Inc. AQB 0001191624 FRANK DAVID A C/O AQUABOUNTY TECHNOLOGIES, INC. 2 MILL & MAIN PLACE, SUITE 395 MAYNARD MA 01754 0 1 0 0 Chief Financial Officer Common Stock 43000 D Common Stock 14660 D Common Stock 2021-03-10 4 A 0 5914 0.00 A 5914 D Options to Purchase Common Stock 6.90 2014-01-11 2021-01-11 Common Stock 5000 5000 D Options to Purchase Common Stock 7.50 2016-04-27 2023-04-27 Common Stock 6667 6667 D Options to Purchase Common Stock 23.40 2017-01-20 2024-01-20 Common Stock 6667 6667 D Options to Purchase Common Stock 14.20 2020-02-27 2027-04-21 Common Stock 10000 10000 D Options to Purchase Common Stock 2.50 2019-02-27 2028-02-27 Common Stock 15152 15152 D Options to Purchase Common Stock 2.22 2020-04-30 2029-04-30 Common Stock 20000 20000 D Options to Purchase Common Stock 1.88 2023-03-12 2030-03-12 Common Stock 12827 12827 D Options to Purchase Common Stock 6.72 2021-03-10 4 A 0 5175 0.00 A 2024-03-10 2031-03-10 Common Stock 5175 5175 D 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 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 fully vested. 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. Treasurer and Chief Financial Officer /s/ David A. Frank, Name: David A. Frank 2021-03-11