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Kirk Randal J's Form 4 filing

Aquabounty Technologies Inc (AQB) · filed Nov 24, 2021

Accession no.
0001567619-21-021154
Filed
Nov 24, 2021
Trade date
Nov 23, 2021
Filing delay
1 day
Rule 10b5-1 plan
Not on the form (before 2023)

This filing lists 26 non-derivative transactions. Open-market sales total $27.0M. It was filed 1 day after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
OwnerRelationship to the company
Kirk Randal JCIK 000109182310% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Nov 23, 2021Common StockSSaleDisposed−4,742,552$2.10F1−$9,959,359.21,965,386Indirect
Nov 23, 2021Common StockSSaleDisposed−278,618$2.10F1−$585,097.8115,463Indirect
Nov 23, 2021Common StockSSaleDisposed−279,121$2.10F1−$586,154.1115,672Indirect
Nov 23, 2021Common StockSSaleDisposed−280,018$2.10F1−$588,037.8116,044Indirect
Nov 23, 2021Common StockSSaleDisposed−980,473$2.10F1−$2,058,993.3331,318Indirect
Nov 23, 2021Common StockSSaleDisposed−1,002,663$2.10F1−$2,105,592.3340,514Indirect
Nov 23, 2021Common StockSSaleDisposed−54,462$2.10F1−$114,370.222,570Indirect
Nov 23, 2021Common StockSSaleDisposed−2,262$2.10F1−$4,750.2937Indirect
Nov 23, 2021Common StockSSaleDisposed−249,384$2.10F1−$523,706.4103,349Indirect
Nov 23, 2021Common StockSSaleDisposed−444,702$2.10F1−$933,874.2184,291Indirect
Nov 23, 2021Common StockSSaleDisposed−53,028$2.10F1−$111,358.821,976Indirect
Nov 23, 2021Common StockSSaleDisposed−4,269,495$2.10F1−$8,965,939.51,769,343Indirect
Nov 23, 2021Common StockSSaleDisposed−67,291$2.10F1−$141,311.127,886Indirect
Nov 23, 2021Common StockSSaleDisposed−14$2.10F1−$29.46Indirect
Nov 23, 2021Common StockSSaleDisposed−3,294$2.10F1−$6,917.41,365Indirect
Nov 23, 2021Common StockSSaleDisposed−1,251$2.10F1−$2,627.1519Indirect
Nov 23, 2021Common StockSSaleDisposed−626$2.10F1−$1,314.6259Indirect
Nov 23, 2021Common StockSSaleDisposed−209$2.10F1−$438.986Indirect
Nov 23, 2021Common StockSSaleDisposed−52,859$2.10F1−$111,003.921,906Indirect
Nov 23, 2021Common StockSSaleDisposed−26,430$2.10F1−$55,50310,953Indirect
Nov 23, 2021Common StockSSaleDisposed−8,810$2.10F1−$18,5013,651Indirect
Nov 23, 2021Common StockSSaleDisposed−33,347$2.10F1−$70,028.713,562Indirect
Nov 23, 2021Common StockSSaleDisposed−14,644$2.10F1−$30,752.46,068Indirect
Nov 23, 2021Common StockSSaleDisposed−7,323$2.10F1−$15,378.33,035Indirect
Nov 23, 2021Common StockSSaleDisposed−18,082$2.10F1−$37,972.27,493Indirect
Nov 23, 2021Common StockSSaleDisposed−9,042$2.10F1−$18,988.23,747Indirect

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

F1

On November 23, 2021, certain entities affiliated with Randal J. Kirk, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.

Referenced by the price of 26 transactions in Table I.

Read the full filing on SEC EDGAR (opens in a new tab)