AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2020

Dec 21, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2020-12-17

Reporting Person: KIRK ALANA (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-17	Common Stock	J	199682	—	Disposed	0	Indirect
2020-12-17	Common Stock	J	3637	—	Acquired	0	Indirect
2020-12-17	Common Stock	J	70092	—	Acquired	316495	Indirect
2020-12-17	Common Stock	J	1704	—	Acquired	318199	Indirect
2020-12-17	Common Stock	J	18482	—	Acquired	37064	Indirect
2020-12-17	Common Stock	J	303	—	Acquired	37367	Indirect
2020-12-17	Common Stock	J	18482	—	Acquired	40237	Indirect
2020-12-17	Common Stock	J	303	—	Acquired	40540	Indirect
2020-12-17	Common Stock	J	1848	—	Acquired	3801	Indirect
2020-12-17	Common Stock	J	30	—	Acquired	3831	Indirect
2020-12-17	Common Stock	J	42	—	Acquired	3189	Indirect
2020-12-17	Common Stock	J	42	—	Acquired	3204	Indirect
2020-12-17	Common Stock	J	1848	—	Acquired	4541	Indirect
2020-12-17	Common Stock	J	42	—	Acquired	4583	Indirect
2020-12-17	Common Stock	J	152	—	Acquired	17758	Indirect
2020-12-17	Common Stock	J	121	—	Acquired	15939	Indirect
2020-12-17	Common Stock	J	3328	—	Acquired	5842	Indirect
2020-12-17	Common Stock	J	24	—	Acquired	5866	Indirect
2020-12-17	Common Stock	J	242	—	Acquired	23831	Indirect
2020-12-17	Common Stock	J	20712	—	Acquired	20712	Indirect
2020-12-17	Common Stock	J	20712	—	Acquired	44301	Indirect
2020-12-17	Common Stock	J	242	—	Acquired	44543	Indirect
2020-12-17	Common Stock	J	10358	—	Acquired	10358	Indirect
2020-12-17	Common Stock	J	122	—	Acquired	11917	Indirect

Footnotes

F1: On December 17, 2020, NRM VI Holdings I, LLC ("NRM VI Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 199,682 shares of the issuer. The following entities, each of which is controlled by the Reporting Person's spouse, in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), ZSK 2008, LLC ("ZSK 2008"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), and Third Security Incentive 2009 LLC ("Incentive 2009").

F2: On December 17, 2020, NRM VII Holdings I, LLC ("NRM VII Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 3,637 shares of the issuer. The following entities, each of which is controlled by the Reporting Person's spouse, in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk DOT, JPK 2009, MGK 2009, ZSK 2009, JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks LTT, Sr. Staff 2008, Third Security Staff 2010 LLC ("Staff 2010") and Third Security Incentive 2010 LLC ("Incentive 2010").

F3: The Reporting Person's spouse, Randal J. Kirk, controls each of ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), TS AquaCulture, LLC ("TS AquaCulture"), TS Biotechnology Holdings, LLC ("TS Bio"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Incentive 2007"). 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.