SEC Form 4 · accession 0001603978-19-000007
AquaBounty Technologies, Inc. · AQB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Clothier
Director
Period of report
Mar 5, 2019
Accepted (ET)
Mar 7, 2019 · 11:35 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 StockF4 | Mar 5, 2019 | A | 12,473 | $0.00 | A | 12,473 | D | |
| Common StockF1 | holding | — | — | — | 36,999 | D | ||
| Common StockF2 | holding | — | — | — | 1,751 | D | ||
| Common StockF3 | holding | — | — | — | 11,151 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Effective 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.
- F2Award of restricted stock granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that fully vests three years after the date of grant.
- F3Award of restricted stock granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that fully vests three years after the date of grant.
- F4Award of restricted stock granted on 3/5/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that fully vests three years after the date of grant.