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AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2020
Aug 11, 2020
35316_dirs_2020-08-11_f2ebe0d2-1d5a-4785-b3f1-d72c610d0e28.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2020-08-11
Reporting Person: HUBER RICHARD L (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-08-11 | Common Stock | P | 40000 | $2.50 | Acquired | 61311 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options to Purchase Common Stock | $9.6 | 2020-11-01 | Common Stock (800.0) | 800 | Direct |
| Options to Purchase Common Stock | $3.3 | 2021-07-01 | Common Stock (800.0) | 800 | Direct |
| Options to Purchase Common Stock | $3.6 | 2022-07-01 | Common Stock (800.0) | 800 | Direct |
| Options to Purchase Common Stock | $10.5 | 2023-07-01 | Common Stock (800.0) | 800 | Direct |
| Options to Purchase Common Stock | $10.8 | 2024-07-01 | Common Stock (800.0) | 800 | Direct |
| Options to Purchase Common Stock | $5.7 | 2025-02-26 | Common Stock (2500.0) | 2500 | Direct |
| Options to Purchase Common Stock | $9.6 | 2026-03-01 | Common Stock (2500.0) | 2500 | Direct |
| Options to Purchase Common Stock | $14.2 | 2027-04-21 | Common Stock (2500.0) | 2500 | Direct |
| Options to Purchase Common Stock | $2.5 | 2028-02-27 | Common Stock (2500.0) | 2500 | Direct |
| Options to Purchase Common Stock | $2.11 | 2029-03-05 | Common Stock (2500.0) | 2500 | Direct |
| Options to Purchase Common Stock | $1.88 | 2030-03-12 | Common Stock (2500.0) | 2500 | Direct |
Footnotes
F1: Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The price reflects the reverse stock split.
F2: Options to purchase common stock were granted on 11/1/2010 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F3: Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The number of shares reflects the reverse stock split.
F4: Options to purchase common stock were granted on 7/1/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F5: Options to purchase common stock were granted on 7/1/2012 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F6: Options to purchase common stock were granted on 7/1/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F7: Options to purchase common stock were granted on 7/1/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F8: Options to purchase common stock were granted on 2/26/2015 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F9: Options to purchase common stock were granted on 3/1/2016 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F10: Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
F11: Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
F12: Options to purchase common stock were granted on 3/5/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
F13: Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year from the date of grant.