Sylvia Wulf - 14 Dec 2022 Form 4 Insider Report for AquaBounty Technologies, Inc. (AQB)

Role
CEO & Director, Director
Signature
/s/ David A. Frank, Name: David A. Frank, attorney-in-fact
Issuer symbol
AQB
Transactions as of
14 Dec 2022
Net transactions value
+$6,820
Form type
4
Filing time
16 Dec 2022, 14:18:13 UTC
Previous filing
18 Apr 2023
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 $711 +1,097 $0.6482 1,097 14 Dec 2022 Direct F4
transaction AQB Common Stock Purchase $6,109 +8,903 $0.6862 8,903 15 Dec 2022 Direct F5
holding AQB Common Stock 164,088 14 Dec 2022 Direct
holding AQB Common Stock 36,170 14 Dec 2022 Direct F1
holding AQB Common Stock 9,196 14 Dec 2022 Direct F2
holding AQB Common Stock 14,035 14 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 150,000 14 Dec 2022 Common Stock 150,000 $2.22 Direct F6
holding AQB Options to Purchase Common Stock 31,649 14 Dec 2022 Common Stock 31,649 $1.88 Direct F7
holding AQB Options to Purchase Common Stock 8,047 14 Dec 2022 Common Stock 8,047 $6.72 Direct F8
holding AQB Options to Purchase Common Stock 36,842 14 Dec 2022 Common Stock 36,842 $1.52 Direct F9
* 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 and are fully vested.
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 of 1,097 shares at $.6482 12/14/2022
F5 Purchase of 8,903 shares at $.6862 12/15/2022
F6 Options to purchase common stock were granted on 4/30/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and are fully vested.
F7 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 after the date of grant.
F8 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.
F9 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.

Remarks:

Director, Chief Executive Officer, and President