David A. Frank - Mar 14, 2022 Form 4/A - Amendment Insider Report for AquaBounty Technologies, Inc. (AQB)

Role
Chief Financial Officer
Signature
/s/ David A. Frank, Name: David A. Frank
Stock symbol
AQB
Transactions as of
Mar 14, 2022
Transactions value $
$0
Form type
4/A - Amendment
Date filed
3/17/2022, 09:02 AM
Date Of Original Report
Mar 16, 2022
Next filing
Dec 14, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AQB Common Stock Award $0 +8.98K $0.00 8.98K Mar 14, 2022 Direct F3
holding AQB Common Stock 43K Mar 14, 2022 Direct
holding AQB Common Stock 14.7K Mar 14, 2022 Direct F1
holding AQB Common Stock 5.91K Mar 14, 2022 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AQB Options to Purchase Common Stock Award $0 +23.6K $0.00 23.6K Mar 14, 2022 Common Stock 23.6K $1.52 Direct F14
holding AQB Options to Purchase Common Stock 5K Mar 14, 2022 Common Stock 5K $6.90 Direct F4, F5, F6
holding AQB Options to Purchase Common Stock 6.67K Mar 14, 2022 Common Stock 6.67K $7.50 Direct F4, F6, F7
holding AQB Options to Purchase Common Stock 6.67K Mar 14, 2022 Common Stock 6.67K $23.40 Direct F4, F6, F8
holding AQB Options to Purchase Common Stock 10K Mar 14, 2022 Common Stock 10K $14.20 Direct F9
holding AQB Options to Purchase Common Stock 15.2K Mar 14, 2022 Common Stock 15.2K $2.50 Direct F10
holding AQB Options to Purchase Common Stock 20K Mar 14, 2022 Common Stock 20K $2.22 Direct F11
holding AQB Options to Purchase Common Stock 12.8K Mar 14, 2022 Common Stock 12.8K $1.88 Direct F12
holding AQB Options to Purchase Common Stock 5.18K Mar 14, 2022 Common Stock 5.18K $6.72 Direct F13
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 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 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.
F5 Options to purchase common stock were granted on 1/11/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have expired.
F6 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.
F7 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.
F8 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.
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 three years from 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 three years from the date of grant.
F14 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 from the date of grant.

Remarks:

Treasurer and Chief Financial Officer; 03/17/22 Correct Footnote #14 description