FRANK DAVID A 4

4 · AquaBounty Technologies, Inc. · Filed May 6, 2019

Form 4

Period: 2019-04-30

See Remarks

Transactions

Award
Options to Purchase Common Stock
2019-04-30+20,000→ 20,000 total
Exercise: $2.22From: 2020-04-30Exp: 2029-04-30→ Common Stock (20,000 underlying)

Holdings

Options to Purchase Common Stock
Exercise: $7.50From: 2016-04-27Exp: 2023-04-27→ Common Stock (6,667 underlying)
6,667
Options to Purchase Common Stock
Exercise: $23.40From: 2017-01-20Exp: 2024-01-20→ Common Stock (6,667 underlying)
6,667
Options to Purchase Common Stock
Exercise: $2.50From: 2019-02-27Exp: 2028-02-27→ Common Stock (15,152 underlying)
15,152
Options to Purchase Common Stock
Exercise: $3.30From: 2012-07-01Exp: 2019-07-01→ Common Stock (15,000 underlying)
15,000
Options to Purchase Common Stock
Exercise: $6.90From: 2014-01-11Exp: 2021-01-11→ Common Stock (5,000 underlying)
5,000
Options to Purchase Common Stock
Exercise: $14.20From: 2020-02-27Exp: 2027-04-21→ Common Stock (10,000 underlying)
10,000

Footnotes (9)

[F1]Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The price reflects the reverse stock split.
[F2]Options to purchase common stock were granted on 7/1/2009 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
[F3]Effective as of 1/5/2017, the Issuer effected a 30-for-1 reverse split of its common stock. The number of shares reflects the reverse stock split.
[F4]Options to purchase common stock were granted on 1/11/2011 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
[F5]Options to purchase common stock were granted on 4/27/2013 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
[F6]Options to purchase common stock were granted on 1/20/2014 pursuant to the AquaBounty Technologies, Inc. 2006 Equity Incentive Plan and have fully vested.
[F7]Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant.
[F8]Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and have fully vested.
[F9]Options to purchase common stock were granted on 4/30/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year from the date of grant.

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