David Francis Melbourne Jr. - 14 Aug 2023 Form 3 Insider Report for AquaBounty Technologies, Inc. (AQB)

Role
President
Signature
/s/ David A. Frank, Name: David A. Frank, attorney in-fact
Issuer symbol
AQB
Transactions as of
14 Aug 2023
Net transactions value
$0
Form type
3
Filing time
18 Aug 2023, 17:14:10 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AQB Common Stock 106,781 14 Aug 2023 Direct

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 14 Aug 2023 Common Stock 15,000 $2.12 Direct F1
holding AQB Options to Purchase Common Stock 14 Aug 2023 Common Stock 15,000 $2.47 Direct F2
holding AQB Options to Purchase Common Stock 14 Aug 2023 Common Stock 12,799 $1.88 Direct F3
holding AQB Options to Purchase Common Stock 14 Aug 2023 Common Stock 5,163 $6.72 Direct F4
holding AQB Options to Purchase Common Stock 14 Aug 2023 Common Stock 20,153 $1.52 Direct F5
holding AQB Options to Purchase Common Stock 14 Aug 2023 Common Stock 70,116 $0.3600 Direct F6
holding AQB Restricted Stock 14 Aug 2023 Common Stock 7,677 $0.000000 Direct F7
holding AQB Restricted Stock 14 Aug 2023 Common Stock 29,434 $0.000000 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 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.
F6 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.
F7 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.
F8 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.