AQUABOUNTY TECHNOLOGIES INC — Director's Dealing 2022

Mar 16, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: AquaBounty Technologies, Inc. (AQB)
CIK: 0001603978
Period of Report: 2022-03-14

Reporting Person: Wulf Sylvia (Director, CEO & Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-03-14	Common Stock	A	14035	$0.00	Acquired	14035	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-03-14	Options to Purchase Common Stock	$1.52	A	36842	Acquired	2032-03-14	Common Stock (36842)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	164088	Direct
Common Stock	36170	Direct
Common Stock	9196	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Options to Purchase Common Stock	$2.22	2029-04-30	Common Stock (150000)	150000	Direct
Options to Purchase Common Stock	$1.88	2030-03-12	Common Stock (31649)	31649	Direct
Options to Purchase Common Stock	$6.72	2031-03-10	Common Stock (8047)	8047	Direct

Footnotes

F1: Award of restricted stock granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and are fully vested.

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: Award of restricted stock granted on 3/14/2022 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.

F4: Options to purchase common stock were granted on 4/30/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and are fully vested.

F5: 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 after the date of grant.

F6: 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 after the date of grant.

F7: Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant.