AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2021

Mar 12, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2021-03-10

Reporting Person: FRANK DAVID A (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-10	Common Stock	A	5914	$0.00	Acquired	5914	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-10	Options to Purchase Common Stock	$6.72	A	5175	Acquired	2031-03-10	Common Stock (5175)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	43000	Direct
Common Stock	14660	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options to Purchase Common Stock	$6.90	2021-01-11	Common Stock (5000)	5000	Direct
Options to Purchase Common Stock	$7.50	2023-04-27	Common Stock (6667)	6667	Direct
Options to Purchase Common Stock	$23.40	2024-01-20	Common Stock (6667)	6667	Direct
Options to Purchase Common Stock	$14.20	2027-04-21	Common Stock (10000)	10000	Direct
Options to Purchase Common Stock	$2.50	2028-02-27	Common Stock (15152)	15152	Direct
Options to Purchase Common Stock	$2.22	2029-04-30	Common Stock (20000)	20000	Direct
Options to Purchase Common Stock	$1.88	2030-03-12	Common Stock (12827)	12827	Direct

Footnotes

F1: Award of restricted stock granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant

F2: Award of restricted stock granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant

F3: 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.

F4: 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.

F5: 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.

F6: 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.

F7: 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.

F8: 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.

F9: 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.

F10: 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.

F11: 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.

F12: Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years from the date of grant.