Form Type: 4

SEC EDGAR Link
Accession Number:0001603978-20-000111
Date:2020-08-11
Issuer: AQUABOUNTY TECHNOLOGIES, INC. (AQB)
Original Submission Date:

Reporting Person:

HUBER RICHARD L
C/O AQUABOUNTY TECHNOLOGIES, INC.
2 MILL & MAIN PLACE, SUITE 395 MAYNARD, MA 01754

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-08-11 P 40,000 a $2.50 61,311 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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