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AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2020
Feb 14, 2020
35316_dirs_2020-02-14_ad4ef04b-b538-4ed0-b62f-9fa5773568ce.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: 2020-02-13
Reporting Person: FRANK DAVID A (See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-02-13 | Common Stock | P | 35000 | $1.50 | Acquired | 35000 | 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 |
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 1/11/2011 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 4/27/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F5: 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.
F6: Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant.
F7: 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.
F8: Options to purchase common stock were granted on 4/30/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year from the date of grant.