Statement of Changes in Beneficial Ownership (4)
December 21 2020 - 4:22PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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KIRK ALANA |
2. Issuer Name and Ticker or Trading Symbol
AquaBounty Technologies, Inc.
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AQB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1881 GROVE AVENUE, ATTN: LEGAL DEPARTMENT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/17/2020 |
(Street)
RADFORD, VA 24141
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/17/2020 | | J(1) | | 199682 (1) | D | $0 (1) | 0 | I | by NRM VI Holdings (1) |
Common Stock | 12/17/2020 | | J(2) | | 3637 (2) | A | $0 (2) | 0 | I | by NRM VII Holdings (2) |
Common Stock | 12/17/2020 | | J(1) | | 70092 (1) | A | $0 (1) | 316495 | I | by R.J. Kirk DOT (3) |
Common Stock | 12/17/2020 | | J(2) | | 1704 (2) | A | $0 (2) | 318199 | I | by R.J. Kirk DOT (3) |
Common Stock | 12/17/2020 | | J(1) | | 18482 (1) | A | $0 (1) | 37064 | I | by JPK 2009 (3) |
Common Stock | 12/17/2020 | | J(2) | | 303 (2) | A | $0 (2) | 37367 | I | by JPK 2009 (3) |
Common Stock | 12/17/2020 | | J(1) | | 18482 (1) | A | $0 (1) | 40237 | I | by MGK 2009 (3) |
Common Stock | 12/17/2020 | | J(2) | | 303 (2) | A | $0 (2) | 40540 | I | by MGK 2009 (3) |
Common Stock | 12/17/2020 | | J(1) | | 1848 (1) | A | $0 (1) | 3801 | I | by ZSK 2009 (3) |
Common Stock | 12/17/2020 | | J(2) | | 30 (2) | A | $0 (2) | 3831 | I | by ZSK 2009 (3) |
Common Stock | 12/17/2020 | | J(2) | | 42 (2) | A | $0 (2) | 3189 | I | by JPK 2008 (3) |
Common Stock | 12/17/2020 | | J(2) | | 42 (2) | A | $0 (2) | 3204 | I | by MGK 2008 (3) |
Common Stock | 12/17/2020 | | J(1) | | 1848 (1) | A | $0 (1) | 4541 | I | by ZSK 2008 (3) |
Common Stock | 12/17/2020 | | J(2) | | 42 (2) | A | $0 (2) | 4583 | I | by ZSK 2008 (3) |
Common Stock | 12/17/2020 | | J(2) | | 152 (2) | A | $0 (2) | 17758 | I | by MGK 2011 (3) |
Common Stock | 12/17/2020 | | J(2) | | 121 (2) | A | $0 (2) | 15939 | I | by JPK 2012 (3) |
Common Stock | 12/17/2020 | | J(1) | | 3328 (1) | A | $0 (1) | 5842 | I | by Kellie L. Banks LTT (3) |
Common Stock | 12/17/2020 | | J(2) | | 24 (2) | A | $0 (2) | 5866 | I | by Kellie L. Banks LTT (3) |
Common Stock | 12/17/2020 | | J(2) | | 242 (2) | A | $0 (2) | 23831 | I | by Staff 2010 (3) |
Common Stock | 12/17/2020 | | J(1) | | 20712 (1) | A | $0 (1) | 20712 | I | by Staff 2009 (3) |
Common Stock | 12/17/2020 | | J(1) | | 20712 (1) | A | $0 (1) | 44301 | I | by Sr. Staff 2008 (3) |
Common Stock | 12/17/2020 | | J(2) | | 242 (2) | A | $0 (2) | 44543 | I | by Sr. Staff 2008 (3) |
Common Stock | 12/17/2020 | | J(1) | | 10358 (1) | A | $0 (1) | 10358 | I | by Incentive 2009 (3) |
Common Stock | 12/17/2020 | | J(2) | | 122 (2) | A | $0 (2) | 11917 | I | by Incentive 2010 (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On December 17, 2020, NRM VI Holdings I, LLC ("NRM VI Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 199,682 shares of the issuer. The following entities, each of which is controlled by the Reporting Person's spouse, in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), ZSK 2008, LLC ("ZSK 2008"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), and Third Security Incentive 2009 LLC ("Incentive 2009"). |
(2) | On December 17, 2020, NRM VII Holdings I, LLC ("NRM VII Holdings") made a liquidating distribution of its assets in connection with the dissolution of the fund in accordance with the terms of its Limited Liability Company Agreement, including 3,637 shares of the issuer. The following entities, each of which is controlled by the Reporting Person's spouse, in their capacities as limited partners, or designees, of one or more feeder funds of NRM VI Holdings, received shares: R.J. Kirk DOT, JPK 2009, MGK 2009, ZSK 2009, JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, MGK 2011, LLC ("MGK 2011"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks LTT, Sr. Staff 2008, Third Security Staff 2010 LLC ("Staff 2010") and Third Security Incentive 2010 LLC ("Incentive 2010"). |
(3) | The Reporting Person's spouse, Randal J. Kirk, controls each of ADC 2010, LLC ("ADC 2010"), Kapital Joe, LLC ("Kapital Joe"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff LLC ("Sr. Staff"), Lotus Capital (2000) Company, Inc. ("Lotus"), Third Security, LLC ("Third Security"), Third Security Senior Staff 2006 LLC ("Sr. Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), Third Security Incentive 2006 LLC ("Incentive 2006"), TS AquaCulture, LLC ("TS AquaCulture"), TS Biotechnology Holdings, LLC ("TS Bio"), Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), and Third Security Incentive 2007 LLC ("Incentive 2007"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KIRK ALANA 1881 GROVE AVENUE ATTN: LEGAL DEPARTMENT RADFORD, VA 24141 | X | X |
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Signatures
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/s/ Alana D. Kirk | | 12/21/2020 |
**Signature of Reporting Person | Date |
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