0001209191-23-046602.txt : 20230818 0001209191-23-046602.hdr.sgml : 20230818 20230818171410 ACCESSION NUMBER: 0001209191-23-046602 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230814 FILED AS OF DATE: 20230818 DATE AS OF CHANGE: 20230818 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Melbourne David Francis JR CENTRAL INDEX KEY: 0001989377 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36426 FILM NUMBER: 231186673 MAIL ADDRESS: STREET 1: 2 MILL AND MAIN PLACE STREET 2: SUITE 395 CITY: MAYNARD STATE: MA ZIP: 01754 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2023-08-14 0 0001603978 AquaBounty Technologies, Inc. AQB 0001989377 Melbourne David Francis JR 2 MILL AND MAIN PLACE SUITE 395 MAYNARD MA 01754 0 1 0 0 President Common Stock 106781 D Options to Purchase Common Stock 2.12 2020-06-17 2029-06-17 Common Stock 15000 D Options to Purchase Common Stock 2.47 2021-01-02 2030-01-02 Common Stock 15000 D Options to Purchase Common Stock 1.88 2023-03-12 2030-03-12 Common Stock 12799 D Options to Purchase Common Stock 6.72 2024-03-10 2031-03-10 Common Stock 5163 D Options to Purchase Common Stock 1.52 2025-03-14 2032-03-14 Common Stock 20153 D Options to Purchase Common Stock 0.36 2026-03-09 2033-03-09 Common Stock 70116 D Restricted Stock 0.00 Common Stock 7677 D Restricted Stock 0.00 Common Stock 29434 D Options to purchase common stock were granted on 06/17/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and are fully vested. Options to purchase common stock were granted on 01/02/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and are fully vested. Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and are fully vested. Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant. Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant. Options to purchase common stock were issued 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest on 03/09/2026. Award of restricted stock granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vested 7,678 shares immediately, with an additional 7,678 vested 03/14/23, and the final 7,677 vesting 2 years after the date of grant. Award of restricted stock granted on 3/09/2023 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vested 14,717 shares immediately, with an additional 14,717 vesting 1 year after the grant, and the final 14,717 vesting 2 years after the date of grant. /s/ David A. Frank, Name: David A. Frank, attorney in-fact 2023-08-18