SEC Form 4 · accession 0001603978-19-000008

AquaBounty Technologies, Inc. · AQB

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

Reporting owner

Richard L Huber

Director

Period of report

Mar 5, 2019

Accepted (ET)

Mar 7, 2019 · 11:37 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 Stock	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	$2.11	Mar 5, 2019	A	2,500	A	Mar 5, 2020	Mar 5, 2029	Common Stock	2,500	2,500	D
Options to Purchase Common Stock^F1,F2,F3	$3.30	holding	—	—	—	Jul 1, 2010	Jul 1, 2019	Common Stock	800	800	D
Options to Purchase Common Stock^F1,F4,F3	$9.60	holding	—	—	—	Nov 1, 2011	Nov 1, 2020	Common Stock	800	800	D
Options to Purchase Common Stock^F1,F5,F3	$3.30	holding	—	—	—	Jul 1, 2012	Jul 1, 2021	Common Stock	800	800	D
Options to Purchase Common Stock^F1,F6,F3	$3.60	holding	—	—	—	Jul 1, 2013	Jul 1, 2022	Common Stock	800	800	D
Options to Purchase Common Stock^F1,F7,F3	$10.50	holding	—	—	—	Jul 1, 2014	Jul 1, 2023	Common Stock	800	800	D
Options to Purchase Common Stock^F1,F8,F3	$10.80	holding	—	—	—	Jul 1, 2015	Jul 1, 2024	Common Stock	800	800	D
Options to Purchase Common Stock^F1,F9,F3	$5.70	holding	—	—	—	Feb 26, 2016	Feb 26, 2025	Common Stock	2,500	2,500	D
Options to Purchase Common Stock^F1,F10,F3	$9.60	holding	—	—	—	Mar 1, 2017	Mar 1, 2026	Common Stock	2,500	2,500	D
Options to Purchase Common Stock^F11	$14.20	holding	—	—	—	Feb 27, 2018	Apr 21, 2027	Common Stock	2,500	2,500	D
Options to Purchase Common Stock^F12	$2.50	holding	—	—	—	Feb 27, 2019	Feb 27, 2028	Common Stock	2,500	2,500	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.
F10Options to purchase common stock were granted on 3/1/2016 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F11Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
F12Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
F13Options to purchase common stock were granted on 3/5/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year from the date of grant.
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 11/1/2010 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F5Options to purchase common stock were granted on 7/1/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F6Options to purchase common stock were granted on 7/1/2012 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F7Options to purchase common stock were granted on 7/1/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F8Options to purchase common stock were granted on 7/1/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F9Options to purchase common stock were granted on 2/26/2015 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.