AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2020

Aug 11, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2020-08-11

Reporting Person: FRANK DAVID A (See Remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-08-11	Common Stock	P	8000	$2.50	Acquired	43000	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	14660	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options to Purchase Common Stock	$6.9	2021-01-11	Common Stock (5000.0)	5000	Direct
Options to Purchase Common Stock	$7.5	2023-04-27	Common Stock (6667.0)	6667	Direct
Options to Purchase Common Stock	$23.4	2024-01-20	Common Stock (6667.0)	6667	Direct
Options to Purchase Common Stock	$14.2	2027-04-21	Common Stock (10000.0)	10000	Direct
Options to Purchase Common Stock	$2.5	2028-02-27	Common Stock (15152.0)	15152	Direct
Options to Purchase Common Stock	$2.22	2029-04-30	Common Stock (20000.0)	20000	Direct
Options to Purchase Common Stock	$1.88	2030-03-12	Common Stock (12827.0)	12827	Direct

Footnotes

F1: Award of restricted stock granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that fully vests two years after the date of grant.

F2: 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.

F3: Options to purchase common stock were granted on 1/11/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.

F4: 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.

F5: Options to purchase common stock were granted on 4/27/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.

F6: Options to purchase common stock were granted on 1/20/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.

F7: 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.

F8: 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.

F9: 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.

F10: Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years from the date of grant.