Accession Number: | 0001603978-20-000111 |
Date: | 2020-08-11 |
Issuer: | AQUABOUNTY TECHNOLOGIES, INC. (AQB) |
Original Submission Date: |
HUBER RICHARD L
C/O AQUABOUNTY TECHNOLOGIES, INC.
2 MILL & MAIN PLACE, SUITE 395
MAYNARD, MA 01754
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2020-08-11 | P | 40,000 | a | $2.50 | 61,311 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
OPTIONS TO PURCHASE COMMON STOCK | 9.6 | deemed execution date | 0 ( ) | 2011-11-01 | 2020-11-01 | common stock 800 | $9.60 | 800 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 3.3 | deemed execution date | 0 ( ) | 2012-07-01 | 2021-07-01 | common stock 800 | $3.30 | 800 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 3.6 | deemed execution date | 0 ( ) | 2013-07-01 | 2022-07-01 | common stock 800 | $3.60 | 800 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 10.5 | deemed execution date | 0 ( ) | 2014-07-01 | 2023-07-01 | common stock 800 | $10.50 | 800 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 10.8 | deemed execution date | 0 ( ) | 2015-07-01 | 2024-07-01 | common stock 800 | $10.80 | 800 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 5.7 | deemed execution date | 0 ( ) | 2016-02-26 | 2025-02-26 | common stock 2,500 | $5.70 | 2,500 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 9.6 | deemed execution date | 0 ( ) | 2017-03-01 | 2026-03-01 | common stock 2,500 | $9.60 | 2,500 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 14.2 | deemed execution date | 0 ( ) | 2018-02-27 | 2027-04-21 | common stock 2,500 | $14.20 | 2,500 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 2.5 | deemed execution date | 0 ( ) | 2019-02-27 | 2028-02-27 | common stock 2,500 | $2.50 | 2,500 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 2.11 | deemed execution date | 0 ( ) | 2020-03-05 | 2029-03-05 | common stock 2,500 | $2.11 | 2,500 | direct | |||
OPTIONS TO PURCHASE COMMON STOCK | 1.88 | deemed execution date | 0 ( ) | 2021-03-12 | 2030-03-12 | common stock 2,500 | $1.88 | 2,500 | direct |
ID | footnote |
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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 11/1/2010 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 7/1/2011 pursuant to the aquabounty technologies, inc. 2006 equity incentive plan and have fully vested. |
f5 | options to purchase common stock were granted on 7/1/2012 pursuant to the aquabounty technologies, inc. 2006 equity incentive plan and have fully vested. |
f6 | options to purchase common stock were granted on 7/1/2013 pursuant to the aquabounty technologies, inc. 2006 equity incentive plan and have fully vested. |
f7 | 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. |
f8 | 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. |
f9 | 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. |
f10 | 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. |
f11 | 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. |
f12 | 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. |
f13 | 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 from the date of grant. |