0001209191-23-037656.txt : 20230616 0001209191-23-037656.hdr.sgml : 20230616 20230616085858 ACCESSION NUMBER: 0001209191-23-037656 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230614 FILED AS OF DATE: 20230616 DATE AS OF CHANGE: 20230616 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sterling Rick L. CENTRAL INDEX KEY: 0001583123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36426 FILM NUMBER: 231019447 MAIL ADDRESS: STREET 1: 20374 SENECA MEADOWS PARKWAY CITY: GERMANTOWN STATE: MD ZIP: 20876 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 X0407 4 2023-06-14 0 0001603978 AquaBounty Technologies, Inc. AQB 0001583123 Sterling Rick L. C/O AQUABOUNTY TECHNOLOGIES, INC. 2 MILL & MAIN PLACE, SUITE 395 MAYNARD MA 01754 1 0 0 0 0 Comon Stock 2023-06-14 4 A 0 55555 0.00 A 56850 D Options to Purchase Common Stock 0.36 2023-06-14 4 A 0 2500 0.00 A 2024-05-25 2033-05-25 Common Stock 2500 2500 D Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. /s/ David A. Frank, Name: David A. Frank 2023-06-16