SEC Filing | AquaBounty Technologies, Inc.

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

KIRK ALANA

(Last)

(First)

(Middle)

1881 GROVE AVENUE

ATTN: LEGAL DEPARTMENT

(Street)

RADFORD

24141

(City)

(State)

(Zip)

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)

3. Date of Earliest Transaction (Month/Day/Year)
12/17/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	12/17/2020		J⁽¹⁾		199,682⁽¹⁾	D	$0⁽¹⁾	0	I	by NRM VI Holdings⁽¹⁾
Common Stock	12/17/2020		J⁽²⁾		3,637⁽²⁾	A	$0⁽²⁾	0	I	by NRM VII Holdings⁽²⁾
Common Stock	12/17/2020		J⁽¹⁾		70,092⁽¹⁾	A	$0⁽¹⁾	316,495	I	by R.J. Kirk DOT⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		1,704⁽²⁾	A	$0⁽²⁾	318,199	I	by R.J. Kirk DOT⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		18,482⁽¹⁾	A	$0⁽¹⁾	37,064	I	by JPK 2009⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		303⁽²⁾	A	$0⁽²⁾	37,367	I	by JPK 2009⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		18,482⁽¹⁾	A	$0⁽¹⁾	40,237	I	by MGK 2009⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		303⁽²⁾	A	$0⁽²⁾	40,540	I	by MGK 2009⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		1,848⁽¹⁾	A	$0⁽¹⁾	3,801	I	by ZSK 2009⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		30⁽²⁾	A	$0⁽²⁾	3,831	I	by ZSK 2009⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		42⁽²⁾	A	$0⁽²⁾	3,189	I	by JPK 2008⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		42⁽²⁾	A	$0⁽²⁾	3,204	I	by MGK 2008⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		1,848⁽¹⁾	A	$0⁽¹⁾	4,541	I	by ZSK 2008⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		42⁽²⁾	A	$0⁽²⁾	4,583	I	by ZSK 2008⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		152⁽²⁾	A	$0⁽²⁾	17,758	I	by MGK 2011⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		121⁽²⁾	A	$0⁽²⁾	15,939	I	by JPK 2012⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		3,328⁽¹⁾	A	$0⁽¹⁾	5,842	I	by Kellie L. Banks LTT⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		24⁽²⁾	A	$0⁽²⁾	5,866	I	by Kellie L. Banks LTT⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		242⁽²⁾	A	$0⁽²⁾	23,831	I	by Staff 2010⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		20,712⁽¹⁾	A	$0⁽¹⁾	20,712	I	by Staff 2009⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		20,712⁽¹⁾	A	$0⁽¹⁾	44,301	I	by Sr. Staff 2008⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		242⁽²⁾	A	$0⁽²⁾	44,543	I	by Sr. Staff 2008⁽³⁾
Common Stock	12/17/2020		J⁽¹⁾		10,358⁽¹⁾	A	$0⁽¹⁾	10,358	I	by Incentive 2009⁽³⁾
Common Stock	12/17/2020		J⁽²⁾		122⁽²⁾	A	$0⁽²⁾	11,917	I	by Incentive 2010⁽³⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

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.

	/s/ Alana D. Kirk	12/21/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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