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AQB AquaBounty Technologies Inc

1.97
-0.003 (-0.15%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
AquaBounty Technologies Inc NASDAQ:AQB NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.003 -0.15% 1.97 0.25 2.50 1.98 1.90 1.95 11,716 05:00:05

Statement of Changes in Beneficial Ownership (4)

11/03/2021 11:11pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Olsen Angela M
2. Issuer Name and Ticker or Trading Symbol

AquaBounty Technologies, Inc. [ AQB ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
General Counsel & Corp Sec
(Last)          (First)          (Middle)

C/O AQUABOUNTY TECHNOLOGIES, INC., 2 MILL & MAIN PLACE, SUITE 395
3. Date of Earliest Transaction (MM/DD/YYYY)

3/10/2021
(Street)

MAYNARD, MA 01754
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock         30043 (1)D  
Common Stock 3/10/2021  S  5938 A$0.00 5938 (2)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Options to Purchase Common Stock $2.33           11/1/2020 (3)11/1/2029 Common Stock 35000  35000 D  
Options to Purchase Common Stock $6.72 3/10/2021  A   5195    3/10/2024 3/10/2031 Common Stock 5195 $0.00 5195 (4)D  

Explanation of Responses:
(1) Award of restricted stock pursuant to the Issuer's 2016 Equity Incentive Plan that fully vested on October 31, 2020.
(2) Award of restricted stock granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant.
(3) Options to purchase common stock were granted on 11/1/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vested October 31, 2020.
(4) 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.

Remarks:
General Counsel and Corporate Secretary

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Olsen Angela M
C/O AQUABOUNTY TECHNOLOGIES, INC.
2 MILL & MAIN PLACE, SUITE 395
MAYNARD, MA 01754


General Counsel & Corp Sec

Signatures
/s/ David A. Frank, Name: David A. Frank, attorney-in-fact3/11/2021
**Signature of Reporting PersonDate

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