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

Reporting relationship: 10%+ Owner
Issuer ticker: AQB
Reported as of: 23 Nov 2021
Net transaction value: -$27,048,000
SEC form: 4
Accepted by SEC: 24 Nov 2021, 15:01:07 UTC
Prior SEC filing: 23 Nov 2021
Next SEC filing: 05 Jan 2022
Source filing: View source filing
Reporting owner signature: /s/ Randal J. Kirk

Key filing fact

Randal J. Kirk filed Form 4 for AquaBounty Technologies, Inc. (AQB) on 24 Nov 2021.

Key facts

This page summarizes Randal J. Kirk's Form 4 filing for AquaBounty Technologies, Inc. (AQB).
26 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 24 Nov 2021, 15:01.

Change

Previous filing in this sequence was filed on 23 Nov 2021.
Current net transaction value: -$27,048,000.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AQB transaction

Common Stock

Sale

Transaction value: $9,959,359
Shares: -4,742,552
Change %: -71%
Price: $2.10^*
Shares after: 1,965,386
Date: 23 Nov 2021
Ownership: by R.J. Kirk DOT
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $585,098
Shares: -278,618
Change %: -71%
Price: $2.10^*
Shares after: 115,463
Date: 23 Nov 2021
Ownership: by JPK 2008
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $586,154
Shares: -279,121
Change %: -71%
Price: $2.10^*
Shares after: 115,672
Date: 23 Nov 2021
Ownership: by MGK 2008
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $588,038
Shares: -280,018
Change %: -71%
Price: $2.10^*
Shares after: 116,044
Date: 23 Nov 2021
Ownership: by ZSK 2008
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $2,058,993
Shares: -980,473
Change %: -75%
Price: $2.10^*
Shares after: 331,318
Date: 23 Nov 2021
Ownership: by JPK 2009
Footnotes: F1, F2, F4

AQB transaction

Common Stock

Sale

Transaction value: $2,105,592
Shares: -1,002,663
Change %: -75%
Price: $2.10^*
Shares after: 340,514
Date: 23 Nov 2021
Ownership: by MGK 2009
Footnotes: F1, F2, F4

AQB transaction

Common Stock

Sale

Transaction value: $114,370
Shares: -54,462
Change %: -71%
Price: $2.10^*
Shares after: 22,570
Date: 23 Nov 2021
Ownership: by ZSK 2009
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $4,750
Shares: -2,262
Change %: -71%
Price: $2.10^*
Shares after: 937
Date: 23 Nov 2021
Ownership: by ADC 2010
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $523,706
Shares: -249,384
Change %: -71%
Price: $2.10^*
Shares after: 103,349
Date: 23 Nov 2021
Ownership: by MGK 2011
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $933,874
Shares: -444,702
Change %: -71%
Price: $2.10^*
Shares after: 184,291
Date: 23 Nov 2021
Ownership: by JPK 2012
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $111,359
Shares: -53,028
Change %: -71%
Price: $2.10^*
Shares after: 21,976
Date: 23 Nov 2021
Ownership: by Kellie L. Banks LTT
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $8,965,940
Shares: -4,269,495
Change %: -71%
Price: $2.10^*
Shares after: 1,769,343
Date: 23 Nov 2021
Ownership: by Sunset 2020
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $141,311
Shares: -67,291
Change %: -71%
Price: $2.10^*
Shares after: 27,886
Date: 23 Nov 2021
Ownership: by Kapital Joe
Footnotes: F1, F2, F4

AQB transaction

Common Stock

Sale

Transaction value: $29.4
Shares: -14
Change %: -70%
Price: $2.10^*
Shares after: 6
Date: 23 Nov 2021
Ownership: by Lotus
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $6,917
Shares: -3,294
Change %: -71%
Price: $2.10^*
Shares after: 1,365
Date: 23 Nov 2021
Ownership: by Staff 2001
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $2,627
Shares: -1,251
Change %: -71%
Price: $2.10^*
Shares after: 519
Date: 23 Nov 2021
Ownership: by Sr. Staff 2006
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $1,315
Shares: -626
Change %: -71%
Price: $2.10^*
Shares after: 259
Date: 23 Nov 2021
Ownership: by Staff 2006
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $439
Shares: -209
Change %: -71%
Price: $2.10^*
Shares after: 86
Date: 23 Nov 2021
Ownership: by Inc 2006
Footnotes: F1, F2

AQB transaction

Common Stock

Sale

Transaction value: $111,004
Shares: -52,859
Change %: -71%
Price: $2.10^*
Shares after: 21,906
Date: 23 Nov 2021
Ownership: by Sr. Staff 2007
Footnotes: F1, F3

AQB transaction

Common Stock

Sale

Transaction value: $55,503
Shares: -26,430
Change %: -71%
Price: $2.10^*
Shares after: 10,953
Date: 23 Nov 2021
Ownership: by Staff 2007
Footnotes: F1, F3

AQB transaction

Common Stock

Sale

Transaction value: $18,501
Shares: -8,810
Change %: -71%
Price: $2.10^*
Shares after: 3,651
Date: 23 Nov 2021
Ownership: by Inc 2007
Footnotes: F1, F3

AQB transaction

Common Stock

Sale

Transaction value: $70,029
Shares: -33,347
Change %: -71%
Price: $2.10^*
Shares after: 13,562
Date: 23 Nov 2021
Ownership: by Sr. Staff 2008
Footnotes: F1, F3, F4

AQB transaction

Common Stock

Sale

Transaction value: $30,752
Shares: -14,644
Change %: -71%
Price: $2.10^*
Shares after: 6,068
Date: 23 Nov 2021
Ownership: by Staff 2009
Footnotes: F1, F3

AQB transaction

Common Stock

Sale

Transaction value: $15,378
Shares: -7,323
Change %: -71%
Price: $2.10^*
Shares after: 3,035
Date: 23 Nov 2021
Ownership: by Inc 2009
Footnotes: F1, F3

AQB transaction

Common Stock

Sale

Transaction value: $37,972
Shares: -18,082
Change %: -71%
Price: $2.10^*
Shares after: 7,493
Date: 23 Nov 2021
Ownership: by Staff 2010
Footnotes: F1, F3, F4

AQB transaction

Common Stock

Sale

Transaction value: $18,988
Shares: -9,042
Change %: -71%
Price: $2.10^*
Shares after: 3,747
Date: 23 Nov 2021
Ownership: by Inc 2010
Footnotes: F1, F3, F4

AQB holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 258
Date: 23 Nov 2021
Ownership: by Sr. Staff
Footnotes: F3, F4

AQB holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 75,004
Date: 23 Nov 2021
Ownership: by Sr. Staff 2015
Footnotes: F3, F4

AQB holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 75,004
Date: 23 Nov 2021
Ownership: by Staff 2015
Footnotes: F3, F4

AQB holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,159
Date: 23 Nov 2021
Ownership: by Spouse

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Randal J. Kirk is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 4 footnotes

Footnote 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.

Footnote 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.

Footnote 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.

Footnote F4

The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.