SEC Form 4 · accession 0001603978-17-000030

AquaBounty Technologies, Inc. · AQB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Richard L Huber

Director

Period of report

Apr 21, 2017

Accepted (ET)

Apr 24, 2017 · 5:12 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001603978

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—		—	21,311	D

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 Stock^F13	$14.20	Apr 21, 2017	A	2,500	A	Feb 27, 2020	Apr 21, 2027	Common Stock	2,500	2,500	D
Options to Purchase Common Stock^F2,F3,F1	$19.50	holding	—	—	—	Jun 27, 2008	Jun 27, 2017	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F4,F1	$9.90	holding	—	—	—	Jun 30, 2009	Jun 30, 2018	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F5,F1	$3.30	holding	—	—	—	Jul 1, 2010	Jul 1, 2019	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F6,F1	$9.60	holding	—	—	—	Nov 1, 2011	Nov 1, 2020	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F7,F1	$3.30	holding	—	—	—	Jul 1, 2012	Jul 1, 2021	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F8,F1	$3.60	holding	—	—	—	Jul 1, 2013	Jul 1, 2022	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F9,F1	$10.50	holding	—	—	—	Jul 1, 2014	Jul 1, 2023	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F10,F1	$10.80	holding	—	—	—	Jul 1, 2015	Jul 1, 2024	Common Stock	800	800	D
Options to Purchase Common Stock^F2,F11,F1	$5.70	holding	—	—	—	Feb 26, 2016	Feb 26, 2025	Common Stock	2,500	2,500	D
Options to Purchase Common Stock^F2,F12,F1	$9.60	holding	—	—	—	Mar 1, 2017	Mar 1, 2026	Common Stock	2,500	2,500	D

Explanation of responses

F1Effective 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.
F10Options to purchase common stock were granted on 7/1/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F11Options to purchase common stock were granted on 2/26/2015 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F12Options to purchase common stock were granted on 3/1/2016 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F13Options 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.
F2Effective 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.
F3Options to purchase common stock were granted on 6/27/2007 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F4Options to purchase common stock were granted on 6/30/2008 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F5Options to purchase common stock were granted on 7/1/2009 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F6Options to purchase common stock were granted on 11/1/2010 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F7Options to purchase common stock were granted on 7/1/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F8Options to purchase common stock were granted on 7/1/2012 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F9Options to purchase common stock were granted on 7/1/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.