Randal J. Kirk - 23 Nov 2021 Form 4 Insider Report for AquaBounty Technologies, Inc. (AQB)

Role
10%+ Owner
Signature
/s/ Randal J. Kirk
Issuer symbol
AQB
Transactions as of
23 Nov 2021
Net transactions value
-$27,048,000
Form type
4
Filing time
24 Nov 2021, 15:01:07 UTC
Previous filing
23 Nov 2021
Next filing
05 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AQB Common Stock Sale $9,959,359 -4,742,552 -71% $2.10* 1,965,386 23 Nov 2021 by R.J. Kirk DOT F1, F2
transaction AQB Common Stock Sale $585,098 -278,618 -71% $2.10* 115,463 23 Nov 2021 by JPK 2008 F1, F2
transaction AQB Common Stock Sale $586,154 -279,121 -71% $2.10* 115,672 23 Nov 2021 by MGK 2008 F1, F2
transaction AQB Common Stock Sale $588,038 -280,018 -71% $2.10* 116,044 23 Nov 2021 by ZSK 2008 F1, F2
transaction AQB Common Stock Sale $2,058,993 -980,473 -75% $2.10* 331,318 23 Nov 2021 by JPK 2009 F1, F2, F4
transaction AQB Common Stock Sale $2,105,592 -1,002,663 -75% $2.10* 340,514 23 Nov 2021 by MGK 2009 F1, F2, F4
transaction AQB Common Stock Sale $114,370 -54,462 -71% $2.10* 22,570 23 Nov 2021 by ZSK 2009 F1, F2
transaction AQB Common Stock Sale $4,750 -2,262 -71% $2.10* 937 23 Nov 2021 by ADC 2010 F1, F2
transaction AQB Common Stock Sale $523,706 -249,384 -71% $2.10* 103,349 23 Nov 2021 by MGK 2011 F1, F2
transaction AQB Common Stock Sale $933,874 -444,702 -71% $2.10* 184,291 23 Nov 2021 by JPK 2012 F1, F2
transaction AQB Common Stock Sale $111,359 -53,028 -71% $2.10* 21,976 23 Nov 2021 by Kellie L. Banks LTT F1, F2
transaction AQB Common Stock Sale $8,965,940 -4,269,495 -71% $2.10* 1,769,343 23 Nov 2021 by Sunset 2020 F1, F2
transaction AQB Common Stock Sale $141,311 -67,291 -71% $2.10* 27,886 23 Nov 2021 by Kapital Joe F1, F2, F4
transaction AQB Common Stock Sale $29.4 -14 -70% $2.10* 6 23 Nov 2021 by Lotus F1, F2
transaction AQB Common Stock Sale $6,917 -3,294 -71% $2.10* 1,365 23 Nov 2021 by Staff 2001 F1, F2
transaction AQB Common Stock Sale $2,627 -1,251 -71% $2.10* 519 23 Nov 2021 by Sr. Staff 2006 F1, F2
transaction AQB Common Stock Sale $1,315 -626 -71% $2.10* 259 23 Nov 2021 by Staff 2006 F1, F2
transaction AQB Common Stock Sale $439 -209 -71% $2.10* 86 23 Nov 2021 by Inc 2006 F1, F2
transaction AQB Common Stock Sale $111,004 -52,859 -71% $2.10* 21,906 23 Nov 2021 by Sr. Staff 2007 F1, F3
transaction AQB Common Stock Sale $55,503 -26,430 -71% $2.10* 10,953 23 Nov 2021 by Staff 2007 F1, F3
transaction AQB Common Stock Sale $18,501 -8,810 -71% $2.10* 3,651 23 Nov 2021 by Inc 2007 F1, F3
transaction AQB Common Stock Sale $70,029 -33,347 -71% $2.10* 13,562 23 Nov 2021 by Sr. Staff 2008 F1, F3, F4
transaction AQB Common Stock Sale $30,752 -14,644 -71% $2.10* 6,068 23 Nov 2021 by Staff 2009 F1, F3
transaction AQB Common Stock Sale $15,378 -7,323 -71% $2.10* 3,035 23 Nov 2021 by Inc 2009 F1, F3
transaction AQB Common Stock Sale $37,972 -18,082 -71% $2.10* 7,493 23 Nov 2021 by Staff 2010 F1, F3, F4
transaction AQB Common Stock Sale $18,988 -9,042 -71% $2.10* 3,747 23 Nov 2021 by Inc 2010 F1, F3, F4
holding AQB Common Stock 258 23 Nov 2021 by Sr. Staff F3, F4
holding AQB Common Stock 75,004 23 Nov 2021 by Sr. Staff 2015 F3, F4
holding AQB Common Stock 75,004 23 Nov 2021 by Staff 2015 F3, F4
holding AQB Common Stock 2,159 23 Nov 2021 by Spouse
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Randal J. Kirk is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.
F2 Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). 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.
F3 Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). 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.
F4 The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.