SEC Form 3 · accession 0001104659-16-164592
AquaBounty Technologies, Inc. · AQB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock , par value $0.001 per share | holding | — | — | — | 22,130,040 | I | Through CFR International SpA and Western Pharmaceuticals SA. |
Table II — derivative securities
Remarks
A total of 21,818,118 shares of Common Stock of AquaBounty Technologies, Inc. ("AquaBounty") described in this report are held directly by CFR International SpA ("CFR International"). CFR International is an indirect, wholly-owned subsidiary of Abbott Laboratories ("Abbott"). In Abbott's capacity as the ultimate corporate parent of CFR International, Abbott may be deemed to indirectly beneficially own such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities and Exchange Commission thereunder. Western Pharmaceuticals SA, an indirect, wholly-owned subsidiary of Abbott ("Western Pharmaceuticals"), holds an additional 311,922 shares of Common Stock of AquaBounty. Western Pharmaceuticals is subject to liquidation proceedings and voting and dispositive control over such shares is exercised by a liquidator appointed pursuant to Ecuadoran law. For purposes of this report, such shares have been included in the shares of Common Stock reported as indirectly owned by Abbott. Exhibit List - Exhibit 24.1 - Powers of Attorney.