AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2021

Nov 24, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2021-11-23

Reporting Person: KIRK RANDAL J (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-23	Common Stock	S	4742552	$2.10	Disposed	1965386	Indirect
2021-11-23	Common Stock	S	278618	$2.10	Disposed	115463	Indirect
2021-11-23	Common Stock	S	279121	$2.10	Disposed	115672	Indirect
2021-11-23	Common Stock	S	280018	$2.10	Disposed	116044	Indirect
2021-11-23	Common Stock	S	980473	$2.10	Disposed	331318	Indirect
2021-11-23	Common Stock	S	1002663	$2.10	Disposed	340514	Indirect
2021-11-23	Common Stock	S	54462	$2.10	Disposed	22570	Indirect
2021-11-23	Common Stock	S	2262	$2.10	Disposed	937	Indirect
2021-11-23	Common Stock	S	249384	$2.10	Disposed	103349	Indirect
2021-11-23	Common Stock	S	444702	$2.10	Disposed	184291	Indirect
2021-11-23	Common Stock	S	53028	$2.10	Disposed	21976	Indirect
2021-11-23	Common Stock	S	4269495	$2.10	Disposed	1769343	Indirect
2021-11-23	Common Stock	S	67291	$2.10	Disposed	27886	Indirect
2021-11-23	Common Stock	S	14	$2.10	Disposed	6	Indirect
2021-11-23	Common Stock	S	3294	$2.10	Disposed	1365	Indirect
2021-11-23	Common Stock	S	1251	$2.10	Disposed	519	Indirect
2021-11-23	Common Stock	S	626	$2.10	Disposed	259	Indirect
2021-11-23	Common Stock	S	209	$2.10	Disposed	86	Indirect
2021-11-23	Common Stock	S	52859	$2.10	Disposed	21906	Indirect
2021-11-23	Common Stock	S	26430	$2.10	Disposed	10953	Indirect
2021-11-23	Common Stock	S	8810	$2.10	Disposed	3651	Indirect
2021-11-23	Common Stock	S	33347	$2.10	Disposed	13562	Indirect
2021-11-23	Common Stock	S	14644	$2.10	Disposed	6068	Indirect
2021-11-23	Common Stock	S	7323	$2.10	Disposed	3035	Indirect
2021-11-23	Common Stock	S	18082	$2.10	Disposed	7493	Indirect
2021-11-23	Common Stock	S	9042	$2.10	Disposed	3747	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	258	Indirect
Common Stock	75004	Indirect
Common Stock	75004	Indirect
Common Stock	2159	Indirect

Footnotes

F1: On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

F2: Randal J. Kirk controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), 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"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 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.

F3: Mr. Kirk controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). 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.

F4: The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.