0001567619-21-021154.txt : 20211124 0001567619-21-021154.hdr.sgml : 20211124 20211124160107 ACCESSION NUMBER: 0001567619-21-021154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211123 FILED AS OF DATE: 20211124 DATE AS OF CHANGE: 20211124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIRK RANDAL J CENTRAL INDEX KEY: 0001091823 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36426 FILM NUMBER: 211446342 MAIL ADDRESS: STREET 1: 1881 GROVE AVENUE CITY: RADFORD STATE: VA ZIP: 24141 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AquaBounty Technologies, Inc. CENTRAL INDEX KEY: 0001603978 STANDARD INDUSTRIAL CLASSIFICATION: FISHING, HUNTING & TRAPPING [0900] IRS NUMBER: 043156167 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: TWO CLOCK TOWER PLACE STREET 2: SUITE 395 CITY: MAYNARD STATE: MA ZIP: 01754 BUSINESS PHONE: 978-648-6000 MAIL ADDRESS: STREET 1: TWO CLOCK TOWER PLACE STREET 2: SUITE 395 CITY: MAYNARD STATE: MA ZIP: 01754 4 1 doc1.xml FORM 4 X0306 4 2021-11-23 1 0001603978 AquaBounty Technologies, Inc. AQB 0001091823 KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD VA 24141 0 0 1 0 Common Stock 2021-11-23 4 S 0 4742552 2.10 D 1965386 I by R.J. Kirk DOT Common Stock 2021-11-23 4 S 0 278618 2.10 D 115463 I by JPK 2008 Common Stock 2021-11-23 4 S 0 279121 2.10 D 115672 I by MGK 2008 Common Stock 2021-11-23 4 S 0 280018 2.10 D 116044 I by ZSK 2008 Common Stock 2021-11-23 4 S 0 980473 2.10 D 331318 I by JPK 2009 Common Stock 2021-11-23 4 S 0 1002663 2.10 D 340514 I by MGK 2009 Common Stock 2021-11-23 4 S 0 54462 2.10 D 22570 I by ZSK 2009 Common Stock 2021-11-23 4 S 0 2262 2.10 D 937 I by ADC 2010 Common Stock 2021-11-23 4 S 0 249384 2.10 D 103349 I by MGK 2011 Common Stock 2021-11-23 4 S 0 444702 2.10 D 184291 I by JPK 2012 Common Stock 2021-11-23 4 S 0 53028 2.10 D 21976 I by Kellie L. Banks LTT Common Stock 2021-11-23 4 S 0 4269495 2.10 D 1769343 I by Sunset 2020 Common Stock 2021-11-23 4 S 0 67291 2.10 D 27886 I by Kapital Joe Common Stock 2021-11-23 4 S 0 14 2.10 D 6 I by Lotus Common Stock 2021-11-23 4 S 0 3294 2.10 D 1365 I by Staff 2001 Common Stock 2021-11-23 4 S 0 1251 2.10 D 519 I by Sr. Staff 2006 Common Stock 2021-11-23 4 S 0 626 2.10 D 259 I by Staff 2006 Common Stock 2021-11-23 4 S 0 209 2.10 D 86 I by Inc 2006 Common Stock 2021-11-23 4 S 0 52859 2.10 D 21906 I by Sr. Staff 2007 Common Stock 2021-11-23 4 S 0 26430 2.10 D 10953 I by Staff 2007 Common Stock 2021-11-23 4 S 0 8810 2.10 D 3651 I by Inc 2007 Common Stock 2021-11-23 4 S 0 33347 2.10 D 13562 I by Sr. Staff 2008 Common Stock 2021-11-23 4 S 0 14644 2.10 D 6068 I by Staff 2009 Common Stock 2021-11-23 4 S 0 7323 2.10 D 3035 I by Inc 2009 Common Stock 2021-11-23 4 S 0 18082 2.10 D 7493 I by Staff 2010 Common Stock 2021-11-23 4 S 0 9042 2.10 D 3747 I by Inc 2010 Common Stock 258 I by Sr. Staff Common Stock 75004 I by Sr. Staff 2015 Common Stock 75004 I by Staff 2015 Common Stock 2159 I by Spouse On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing. Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock. /s/ Randal J. Kirk 2021-11-24