0001209191-21-019914.txt : 20210311 0001209191-21-019914.hdr.sgml : 20210311 20210311181708 ACCESSION NUMBER: 0001209191-21-019914 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210311 DATE AS OF CHANGE: 20210311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: St.Clare Christine CENTRAL INDEX KEY: 0001570393 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36426 FILM NUMBER: 21734636 MAIL ADDRESS: STREET 1: 405 EAGLEVIEW BLVD. CITY: EXTON STATE: PA ZIP: 19341 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 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-10 0 0001603978 AquaBounty Technologies, Inc. AQB 0001570393 St.Clare Christine C/O AQUABOUNTY TECHNOLOGIES, INC. 2 MILL & MAIN PLACE, SUITE 395 MAYNARD MA 01754 1 0 0 0 Options to Purchase Common Stock 10.80 2015-07-01 2024-07-01 Common Stock 800 800 D Options to Purchase Common Stock 5.70 2016-02-26 2025-02-26 Common Stock 2500 2500 D Options to Purchase Common Stock 9.60 2017-03-01 2026-03-01 Common Stock 2500 2500 D Options to Purchase Common Stock 14.20 2018-02-27 2027-04-21 Common Stock 2500 2500 D Options to Purchase Common Stock 2.50 2019-02-27 2028-02-27 Common Stock 2500 2500 D Options to Purchase Common Stock 2.11 2020-03-05 2029-03-05 Common Stock 2500 2500 D Options to Purchase Common Stock 1.88 2021-03-12 2030-03-12 Common Stock 2500 2500 D Options to Purchase Common Stock 6.72 2021-03-10 4 A 0 2500 0.00 A 2022-03-10 2031-03-10 Common Stock 2500 2500 D Effective 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. Options to purchase common stock were granted on 7/1/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested. Effective 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. Options to purchase common stock were granted on 2/26/2015 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested. Options to purchase common stock were granted on 3/1/2016 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested. Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested. Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested. Options to purchase common stock were granted on 3/5/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested. Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. /s/ David A. Frank, Name: David A. Frank, attorney-in-fact 2021-03-11