SEC Form 4 · accession 0001603978-17-000028
AquaBounty Technologies, Inc. · AQB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald L Stotish
Officer — See Remarks · Director
Period of report
Apr 21, 2017
Accepted (ET)
Apr 24, 2017 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001603978
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF6 | $14.20 | Apr 21, 2017 | A | 20,000 | A | Feb 27, 2020 | Apr 21, 2027 | Common Stock | 20,000 | 20,000 | D |
| Options to Purchase Common StockF1,F2,F3 | $3.30 | holding | — | — | — | Jul 1, 2009 | Jul 1, 2019 | Common Stock | 62,334 | 62,334 | D |
| Options to Purchase Common StockF1,F4,F3 | $6.90 | holding | — | — | — | Jan 11, 2014 | Jan 11, 2021 | Common Stock | 16,667 | 16,667 | D |
| Options to Purchase Common StockF1,F5,F3 | $23.40 | holding | — | — | — | Jan 20, 2017 | Jan 20, 2024 | Common Stock | 6,667 | 6,667 | D |
Explanation of responses
- F1Effective as of January 5, 2017, the Issuer effected a 30-for-1 reverse split of its common stock. The price reflects the reverse stock split.
- F2Options to purchase common stock were granted on 7/1/2009 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
- F3Effective as of January 5, 2017, the Issuer effected a 30-for-1 reverse split of its common stock. The number of shares reflects the reverse stock split.
- F4Options to purchase common stock were granted on 1/11/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
- F5Options to purchase common stock were granted on 1/20/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
- F6Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan. Subject to continued service, vesting shall occur over three years, ending February 27, 2020, with the first year's vesting prorated between April 22, 2017, and February 27, 2018.
Remarks
Director, Chief Executive Officer, and President