David A. Frank - 13 Dec 2022 Form 4 Insider Report for AquaBounty Technologies, Inc. (AQB)

Role
Chief Financial Officer
Signature
/s/ David A. Frank, Name: David A. Frank
Issuer symbol
AQB
Transactions as of
13 Dec 2022
Net transactions value
+$6,500
Form type
4
Filing time
14 Dec 2022, 14:28:35 UTC
Previous filing
17 Mar 2022
Next filing
18 Apr 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AQB Common Stock Purchase $6,500 +10,000 $0.6500 10,000 13 Dec 2022 Direct F4
holding AQB Common Stock 43,000 13 Dec 2022 Direct
holding AQB Common Stock 14,660 13 Dec 2022 Direct F1
holding AQB Common Stock 5,914 13 Dec 2022 Direct F2
holding AQB Common Stock 8,977 13 Dec 2022 Direct F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding AQB Options to Purchase Common Stock 5,000 13 Dec 2022 Common Stock 5,000 $6.90 Direct F5, F6, F7
holding AQB Options to Purchase Common Stock 6,667 13 Dec 2022 Common Stock 6,667 $7.50 Direct F5, F7, F8
holding AQB Options to Purchase Common Stock 6,667 13 Dec 2022 Common Stock 6,667 $23.40 Direct F5, F7, F9
holding AQB Options to Purchase Common Stock 10,000 13 Dec 2022 Common Stock 10,000 $14.20 Direct F10
holding AQB Options to Purchase Common Stock 15,152 13 Dec 2022 Common Stock 15,152 $2.50 Direct F11
holding AQB Options to Purchase Common Stock 20,000 13 Dec 2022 Common Stock 20,000 $2.22 Direct F12
holding AQB Options to Purchase Common Stock 12,827 13 Dec 2022 Common Stock 12,827 $1.88 Direct F13
holding AQB Options to Purchase Common Stock 5,175 13 Dec 2022 Common Stock 5,175 $6.72 Direct F14
holding AQB Options to Purchase Common Stock 23,564 13 Dec 2022 Common Stock 23,564 $1.52 Direct F15
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Award of restricted stock granted on 3/12/2020 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
F2 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
F3 Award of restricted stock granted on 3/14/2022 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
F4 Purchase 10,000 shares at $.65 12/13/2022
F5 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.
F6 Options to purchase common stock were granted on 1/11/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have expired.
F7 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.
F8 Options to purchase common stock were granted on 4/27/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F9 Options to purchase common stock were granted on 1/20/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F10 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.
F11 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.
F12 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.
F13 Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years from the date of grant.
F14 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 from the date of grant.
F15 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 from the date of grant

Remarks:

Treasurer and Chief Financial Officer