X0306 4 2020-12-17 0 0001603978 AquaBounty Technologies, Inc. AQB 0001810928 KIRK ALANA 1881 GROVE AVENUE ATTN: LEGAL DEPARTMENT RADFORD VA 24141 1 0 1 0 Common Stock 2020-12-17 4 J 0 199682 0 D 0 I by NRM VI Holdings Common Stock 2020-12-17 4 J 0 3637 0 A 0 I by NRM VII Holdings Common Stock 2020-12-17 4 J 0 70092 0 A 316495 I by R.J. Kirk DOT Common Stock 2020-12-17 4 J 0 1704 0 A 318199 I by R.J. Kirk DOT Common Stock 2020-12-17 4 J 0 18482 0 A 37064 I by JPK 2009 Common Stock 2020-12-17 4 J 0 303 0 A 37367 I by JPK 2009 Common Stock 2020-12-17 4 J 0 18482 0 A 40237 I by MGK 2009 Common Stock 2020-12-17 4 J 0 303 0 A 40540 I by MGK 2009 Common Stock 2020-12-17 4 J 0 1848 0 A 3801 I by ZSK 2009 Common Stock 2020-12-17 4 J 0 30 0 A 3831 I by ZSK 2009 Common Stock 2020-12-17 4 J 0 42 0 A 3189 I by JPK 2008 Common Stock 2020-12-17 4 J 0 42 0 A 3204 I by MGK 2008 Common Stock 2020-12-17 4 J 0 1848 0 A 4541 I by ZSK 2008 Common Stock 2020-12-17 4 J 0 42 0 A 4583 I by ZSK 2008 Common Stock 2020-12-17 4 J 0 152 0 A 17758 I by MGK 2011 Common Stock 2020-12-17 4 J 0 121 0 A 15939 I by JPK 2012 Common Stock 2020-12-17 4 J 0 3328 0 A 5842 I by Kellie L. Banks LTT Common Stock 2020-12-17 4 J 0 24 0 A 5866 I by Kellie L. Banks LTT Common Stock 2020-12-17 4 J 0 242 0 A 23831 I by Staff 2010 Common Stock 2020-12-17 4 J 0 20712 0 A 20712 I by Staff 2009 Common Stock 2020-12-17 4 J 0 20712 0 A 44301 I by Sr. Staff 2008 Common Stock 2020-12-17 4 J 0 242 0 A 44543 I by Sr. Staff 2008 Common Stock 2020-12-17 4 J 0 10358 0 A 10358 I by Incentive 2009 Common Stock 2020-12-17 4 J 0 122 0 A 11917 I by Incentive 2010 On December 17, 2020, NRM VI Holdings I, LLC ("NRM VI Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 199,682 shares of the issuer. The following entities, each of which is controlled by the Reporting Person's spouse, in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), ZSK 2008, LLC ("ZSK 2008"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), and Third Security Incentive 2009 LLC ("Incentive 2009"). On December 17, 2020, NRM VII Holdings I, LLC ("NRM VII Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 3,637 shares of the issuer. The following entities, each of which is controlled by the Reporting Person's spouse, in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk DOT, JPK 2009, MGK 2009, ZSK 2009, JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks LTT, Sr. Staff 2008, Third Security Staff 2010 LLC ("Staff 2010") and Third Security Incentive 2010 LLC ("Incentive 2010"). The Reporting Person's spouse, Randal J. Kirk, controls each of ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), TS AquaCulture, LLC ("TS AquaCulture"), TS Biotechnology Holdings, LLC ("TS Bio"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Incentive 2007"). 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. /s/ Alana D. Kirk 2020-12-21