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Kirk Alana's Form 4 filing

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

Accession no.
0001567619-21-021166
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 AlanaCIK 0001810928Director, 10% 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−$9,959,359.21,965,386IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−278,618$2.10F1−$585,097.8115,463IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−279,121$2.10F1−$586,154.1115,672IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−280,018$2.10F1−$588,037.8116,044IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−980,473$2.10F1−$2,058,993.3331,318IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−1,002,663$2.10F1−$2,105,592.3340,514IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−54,462$2.10F1−$114,370.222,570IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−2,262$2.10F1−$4,750.2937IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−249,384$2.10F1−$523,706.4103,349IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−444,702$2.10F1−$933,874.2184,291IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−53,028$2.10F1−$111,358.821,976IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−4,269,495$2.10F1−$8,965,939.51,769,343IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−67,291$2.10F1−$141,311.127,886IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−14$2.10F1−$29.46IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−3,294$2.10F1−$6,917.41,365IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−1,251$2.10F1−$2,627.1519IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−626$2.10F1−$1,314.6259IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−209$2.10F1−$438.986IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−52,859$2.10F1−$111,003.921,906IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−26,430$2.10F1−$55,50310,953IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−8,810$2.10F1−$18,5013,651IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−33,347$2.10F1−$70,028.713,562IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−14,644$2.10F1−$30,752.46,068IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−7,323$2.10F1−$15,378.33,035IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−18,082$2.10F1−$37,972.27,493IndirectDuplicate filing
Nov 23, 2021Common StockSSaleDisposed−9,042$2.10F1−$18,988.23,747IndirectDuplicate filing

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, the Reporting Person's spouse, 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)