SEC Form 4/A · accession 0001603978-18-000005
AquaBounty Technologies, Inc. · AQB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James C Turk Jr.
Director
Period of report
Jul 24, 2017
Accepted (ET)
Jan 9, 2018 · 9:36 am EST
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 StockF2 | Jul 24, 2017 | J | 2,053 | $0.00 | A | 4,964 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 24, 2017, New River Management V, LP made a liquidating distribution of its assets to its partners in connection with the dissolution of the partnership in accordance with the terms of its limited partnership agreement. Among these assets were 2,053 shares of the Issuer's common stock distributed to the Reporting Person.
- F2On January 18, 2017, Intrexon Corporation distributed a special stock dividend to each of its stockholders that consisted of a portion of its holdings of the Issuer's common stock. The receipt of 2,911 shares in this distribution by the Reporting Person was exempt from Section 16 reporting requirements under Rule 16a-9. This Form 4/A is being filed to correct the amount of securities beneficially owned following the reported transaction to include the shares received in the distribution by Intrexon Corporation. The original Form 4 filing indicated that the Reporting Person held 2,053 shares following the reported transaction.