4//SEC Filing
KIRK ALANA 4
Accession 0001567619-21-021166
CIK 0001603978other
Filed
Nov 23, 7:00 PM ET
Accepted
Nov 24, 4:09 PM ET
Size
52.4 KB
Accession
0001567619-21-021166
Insider Transaction Report
Form 4
Czypinski Alana
Director10% Owner
Transactions
- Sale
Common Stock
2021-11-23$2.10/sh−2,262$4,750→ 937 total(indirect: by ADC 2010) - Sale
Common Stock
2021-11-23$2.10/sh−4,269,495$8,965,940→ 1,769,343 total(indirect: by Sunset 2020) - Sale
Common Stock
2021-11-23$2.10/sh−3,294$6,917→ 1,365 total(indirect: by Staff 2001) - Sale
Common Stock
2021-11-23$2.10/sh−209$439→ 86 total(indirect: by Inc 2006) - Sale
Common Stock
2021-11-23$2.10/sh−26,430$55,503→ 10,953 total(indirect: by Staff 2007) - Sale
Common Stock
2021-11-23$2.10/sh−9,042$18,988→ 3,747 total(indirect: by Inc 2010) - Sale
Common Stock
2021-11-23$2.10/sh−279,121$586,154→ 115,672 total(indirect: by MGK 2008) - Sale
Common Stock
2021-11-23$2.10/sh−1,002,663$2,105,592→ 340,514 total(indirect: by MGK 2009) - Sale
Common Stock
2021-11-23$2.10/sh−14$29→ 6 total(indirect: by Lotus) - Sale
Common Stock
2021-11-23$2.10/sh−1,251$2,627→ 519 total(indirect: by Sr. Staff 2006) - Sale
Common Stock
2021-11-23$2.10/sh−626$1,315→ 259 total(indirect: by Staff 2006) - Sale
Common Stock
2021-11-23$2.10/sh−52,859$111,004→ 21,906 total(indirect: by Sr. Staff 2007) - Sale
Common Stock
2021-11-23$2.10/sh−444,702$933,874→ 184,291 total(indirect: by JPK 2012) - Sale
Common Stock
2021-11-23$2.10/sh−53,028$111,359→ 21,976 total(indirect: by Kellie L. Banks LTT) - Sale
Common Stock
2021-11-23$2.10/sh−67,291$141,311→ 27,886 total(indirect: by Kapital Joe) - Sale
Common Stock
2021-11-23$2.10/sh−33,347$70,029→ 13,562 total(indirect: by Sr. Staff 2008) - Sale
Common Stock
2021-11-23$2.10/sh−14,644$30,752→ 6,068 total(indirect: by Staff 2009) - Sale
Common Stock
2021-11-23$2.10/sh−4,742,552$9,959,359→ 1,965,386 total(indirect: by R.J. Kirk DOT) - Sale
Common Stock
2021-11-23$2.10/sh−278,618$585,098→ 115,463 total(indirect: by JPK 2008) - Sale
Common Stock
2021-11-23$2.10/sh−280,018$588,038→ 116,044 total(indirect: by ZSK 2008) - Sale
Common Stock
2021-11-23$2.10/sh−980,473$2,058,993→ 331,318 total(indirect: by JPK 2009) - Sale
Common Stock
2021-11-23$2.10/sh−54,462$114,370→ 22,570 total(indirect: by ZSK 2009) - Sale
Common Stock
2021-11-23$2.10/sh−249,384$523,706→ 103,349 total(indirect: by MGK 2011) - Sale
Common Stock
2021-11-23$2.10/sh−8,810$18,501→ 3,651 total(indirect: by Inc 2007) - Sale
Common Stock
2021-11-23$2.10/sh−7,323$15,378→ 3,035 total(indirect: by Inc 2009) - Sale
Common Stock
2021-11-23$2.10/sh−18,082$37,972→ 7,493 total(indirect: by Staff 2010)
Holdings
- 2,159
Common Stock
- 258(indirect: by Sr. Staff)
Common Stock
- 75,004(indirect: by Sr. Staff 2015)
Common Stock
- 75,004(indirect: by Staff 2015)
Common Stock
Footnotes (4)
- [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.
- [F2]The Reporting Person's spouse controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), JPK 2008 LLC ("JPK 2008"), MGK 2008 LLC ("MGK 2008"), ZSK 2008 LLC ("ZSK 2008"), JPK 2009 LLC ("JPK 2009"), MGK 2009 LLC ("MGK 2009"), ZSK 2009 LLC ("ZSK 2009"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 2006"). 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.
- [F3]The Reporting Person's spouse controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), and Third Security Staff 2015 LLC ("Staff 2015"). 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.
- [F4]The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.
Documents
Issuer
AquaBounty Technologies, Inc.
CIK 0001603978
Entity typeother
Related Parties
1- filerCIK 0001810928
Filing Metadata
- Form type
- 4
- Filed
- Nov 23, 7:00 PM ET
- Accepted
- Nov 24, 4:09 PM ET
- Size
- 52.4 KB