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

Role
Director, 10%+ Owner
Signature
/s/ Alana D. Kirk
Stock symbol
AQB
Transactions as of
Nov 23, 2021
Transactions value $
-$27,048,000
Form type
4
Date filed
11/24/2021, 03:09 PM
Next filing
Mar 16, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AQB Common Stock Sale -$9.96M -4.74M -70.7% $2.10* 1.97M Nov 23, 2021 by R.J. Kirk DOT F1, F2
transaction AQB Common Stock Sale -$585K -279K -70.7% $2.10* 115K Nov 23, 2021 by JPK 2008 F1, F2
transaction AQB Common Stock Sale -$586K -279K -70.7% $2.10* 116K Nov 23, 2021 by MGK 2008 F1, F2
transaction AQB Common Stock Sale -$588K -280K -70.7% $2.10* 116K Nov 23, 2021 by ZSK 2008 F1, F2
transaction AQB Common Stock Sale -$2.06M -980K -74.74% $2.10* 331K Nov 23, 2021 by JPK 2009 F1, F2, F4
transaction AQB Common Stock Sale -$2.11M -1M -74.65% $2.10* 341K Nov 23, 2021 by MGK 2009 F1, F2, F4
transaction AQB Common Stock Sale -$114K -54.5K -70.7% $2.10* 22.6K Nov 23, 2021 by ZSK 2009 F1, F2
transaction AQB Common Stock Sale -$4.75K -2.26K -70.71% $2.10* 937 Nov 23, 2021 by ADC 2010 F1, F2
transaction AQB Common Stock Sale -$524K -249K -70.7% $2.10* 103K Nov 23, 2021 by MGK 2011 F1, F2
transaction AQB Common Stock Sale -$934K -445K -70.7% $2.10* 184K Nov 23, 2021 by JPK 2012 F1, F2
transaction AQB Common Stock Sale -$111K -53K -70.7% $2.10* 22K Nov 23, 2021 by Kellie L. Banks LTT F1, F2
transaction AQB Common Stock Sale -$8.97M -4.27M -70.7% $2.10* 1.77M Nov 23, 2021 by Sunset 2020 F1, F2
transaction AQB Common Stock Sale -$141K -67.3K -70.7% $2.10* 27.9K Nov 23, 2021 by Kapital Joe F1, F2, F4
transaction AQB Common Stock Sale -$29 -14 -70% $2.10* 6 Nov 23, 2021 by Lotus F1, F2
transaction AQB Common Stock Sale -$6.92K -3.29K -70.7% $2.10* 1.37K Nov 23, 2021 by Staff 2001 F1, F2
transaction AQB Common Stock Sale -$2.63K -1.25K -70.68% $2.10* 519 Nov 23, 2021 by Sr. Staff 2006 F1, F2
transaction AQB Common Stock Sale -$1.31K -626 -70.73% $2.10* 259 Nov 23, 2021 by Staff 2006 F1, F2
transaction AQB Common Stock Sale -$439 -209 -70.85% $2.10* 86 Nov 23, 2021 by Inc 2006 F1, F2
transaction AQB Common Stock Sale -$111K -52.9K -70.7% $2.10* 21.9K Nov 23, 2021 by Sr. Staff 2007 F1, F3
transaction AQB Common Stock Sale -$55.5K -26.4K -70.7% $2.10* 11K Nov 23, 2021 by Staff 2007 F1, F3
transaction AQB Common Stock Sale -$18.5K -8.81K -70.7% $2.10* 3.65K Nov 23, 2021 by Inc 2007 F1, F3
transaction AQB Common Stock Sale -$70K -33.3K -71.09% $2.10* 13.6K Nov 23, 2021 by Sr. Staff 2008 F1, F3, F4
transaction AQB Common Stock Sale -$30.8K -14.6K -70.7% $2.10* 6.07K Nov 23, 2021 by Staff 2009 F1, F3
transaction AQB Common Stock Sale -$15.4K -7.32K -70.7% $2.10* 3.04K Nov 23, 2021 by Inc 2009 F1, F3
transaction AQB Common Stock Sale -$38K -18.1K -70.7% $2.10* 7.49K Nov 23, 2021 by Staff 2010 F1, F3, F4
transaction AQB Common Stock Sale -$19K -9.04K -70.7% $2.10* 3.75K Nov 23, 2021 by Inc 2010 F1, F3, F4
holding AQB Common Stock 2.16K Nov 23, 2021 Direct
holding AQB Common Stock 258 Nov 23, 2021 by Sr. Staff F3, F4
holding AQB Common Stock 75K Nov 23, 2021 by Sr. Staff 2015 F3, F4
holding AQB Common Stock 75K Nov 23, 2021 by Staff 2015 F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On November 23, 2021, certain entities affiliated with Randal J. Kirk, the Reporting Person's spouse, 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 The Reporting Person's spouse 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 The Reporting Person's spouse controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), 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.