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