Statement of Changes in Beneficial Ownership (4)
December 21 2020 - 04:22PM
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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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
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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 * KIRK ALANA |
2. Issuer Name and Ticker or Trading
Symbol AquaBounty Technologies, Inc. [ AQB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
|
(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)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
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)
|
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
|
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
|
/s/ Alana D. Kirk |
|
12/21/2020 |
**Signature of Reporting
Person |
Date |