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AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2021
Mar 22, 2021
35316_dirs_2021-03-22_2e1ca442-9ee4-4a71-a122-7ee9577a371f.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2021-03-10
Reporting Person: HUBER RICHARD L (Director)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-10 | Options to Purchase Common Stock | $6.72 | A | 2500 | Acquired | 2031-03-10 | Common Stock (2500) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 71311 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Options to Purchase Common Stock | $3.30 | 2021-07-01 | Common Stock (800) | 800 | Direct |
| Options to Purchase Common Stock | $3.60 | 2022-07-01 | Common Stock (800) | 800 | Direct |
| Options to Purchase Common Stock | $10.50 | 2023-07-01 | Common Stock (800) | 800 | Direct |
| Options to Purchase Common Stock | $10.80 | 2024-07-01 | Common Stock (800) | 800 | Direct |
| Options to Purchase Common Stock | $5.70 | 2025-02-26 | Common Stock (2500) | 2500 | Direct |
| Options to Purchase Common Stock | $9.60 | 2026-03-01 | Common Stock (2500) | 2500 | Direct |
| Options to Purchase Common Stock | $14.20 | 2027-04-21 | Common Stock (2500) | 2500 | Direct |
| Options to Purchase Common Stock | $2.50 | 2028-02-27 | Common Stock (2500) | 2500 | Direct |
| Options to Purchase Common Stock | $2.11 | 2029-03-05 | Common Stock (2500) | 2500 | Direct |
| Options to Purchase Common Stock | $1.88 | 2030-03-12 | Common Stock (2500) | 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 7/1/2011 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 7/1/2012 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F5: Options to purchase common stock were granted on 7/1/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F6: Options to purchase common stock were granted on 7/1/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: 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.
F12: 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 after the date of grant.
F13: Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant.