AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2020

Feb 18, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2020-02-13

Reporting Person: KIRK RANDAL J (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-13	Common Stock	P	5175000	$1.50	Acquired	5175000	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	8239199	Indirect
Common Stock	200519	Indirect
Common Stock	5775	Indirect
Common Stock	4659	Indirect
Common Stock	20	Indirect
Common Stock	2080	Indirect
Common Stock	2095	Indirect
Common Stock	1708	Indirect
Common Stock	10784	Indirect
Common Stock	12726	Indirect
Common Stock	1132	Indirect
Common Stock	12617	Indirect
Common Stock	2021	Indirect
Common Stock	1770	Indirect
Common Stock	885	Indirect
Common Stock	295	Indirect
Common Stock	99537	Indirect
Common Stock	82083	Indirect
Common Stock	880	Indirect
Common Stock	3199	Indirect
Common Stock	14076	Indirect
Common Stock	20306	Indirect
Common Stock	20306	Indirect
Common Stock	10153	Indirect
Common Stock	199682	Indirect
Common Stock	3637	Indirect
Common Stock	124609	Indirect

Footnotes

F1: Randal J. Kirk controls each of TS Biotechnology Holdings, LLC ("TS Biotechnology"), TS AquaCulture LLC ("TS AquaCulture"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Third Security, LLC, ("Third Security"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), 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"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 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.

F2: Randal J. Kirk controls each of Third Security Incentive 2006 LLC ("Incentive 2006"), Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Third Security Capital Partners V, LLC ("TSCP V"). 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.