SEC Form 4 · accession 0001603978-18-000014
AquaBounty Technologies, Inc. · AQB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Frank
Officer — See Remarks
Period of report
Feb 27, 2018
Accepted (ET)
Mar 1, 2018 · 4:16 pm EST
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 StockF8 | $2.50 | Feb 27, 2018 | A | 15,152 | A | Feb 27, 2019 | Feb 27, 2028 | Common Stock | 15,152 | 15,152 | D |
| Options to Purchase Common StockF1,F2,F3 | $3.30 | holding | — | — | — | Jul 1, 2012 | Jul 1, 2019 | Common Stock | 15,000 | 15,000 | D |
| Options to Purchase Common StockF1,F4,F3 | $6.90 | holding | — | — | — | Jan 11, 2014 | Jan 11, 2021 | Common Stock | 5,000 | 5,000 | D |
| Options to Purchase Common StockF1,F5,F3 | $7.50 | holding | — | — | — | Apr 27, 2016 | Apr 27, 2023 | Common Stock | 6,667 | 6,667 | D |
| Options to Purchase Common StockF1,F6,F3 | $23.40 | holding | — | — | — | Jan 20, 2017 | Jan 20, 2024 | Common Stock | 6,667 | 6,667 | D |
| Options to Purchase Common StockF7 | $14.20 | holding | — | — | — | Feb 27, 2020 | Apr 21, 2027 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Effective 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.
- 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 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.
- 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 4/27/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
- F6Options to purchase common stock were granted on 1/20/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
- F7Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant.
- F8Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant.
Remarks
Chief Financial Officer and Treasurer