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| LEI | 549300TOJ0S836KCH094 |
| CIK | 1603978 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to AquaBounty Technologies, Inc.
SEC Filings (Chronological Order)
이 페이지는 다른 곳에서 제공하는 소유권 보고서를 제외한 SEC 보고서의 전체 리스트를 시간 순으로 정리한 것입니다.
| May 7, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2026 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 AquaBounty Technolog |
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| May 5, 2026 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| May 1, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| April 17, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A (Amendment No.2) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2026 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of inc |
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| April 17, 2026 |
Exhibit 3.1 Delaware Page 1 The First State I, CHARUNI P AT IBAND A-SANCHEZ , SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF CORRECTION OF " AQUABOUNTY TECHNOLOGIES, INC. ", FILED IN THIS OFFICE ON THE SIXTEENTH DAY OF APRIL, A.D. 2026, AT 11:15 OCLocx A.M. 2282110 8100 SR# 20261841607 Charuni Patibanda-Sanchez, Secretar |
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| April 10, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 8, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2026 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commis |
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| April 8, 2026 |
FORM OF PREFERRED STOCK PURCHASE AGREEMENT Exhibit 10.2 FORM OF PREFERRED STOCK PURCHASE AGREEMENT This Preferred Stock Purchase Agreement (this “Agreement”) is dated as of April 7, 2026 between AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), and the purchaser identified on Annex A hereto (each, including its successors and assigns, the “Investor”). WHEREAS, (i) the Company wishes to offer for sale to the certain inv |
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| April 8, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 7, 2026 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of inc |
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| April 8, 2026 |
Certificate of Designations of Series A Convertible Preferred Stock of AquaBounty Technologies, Inc. Exhibit 3.1 Certificate of Designations of Series A Convertible Preferred Stock of AquaBounty Technologies, Inc. Pursuant to Section 151 of the General Corporation Law of the State of Delaware, AquaBounty Technologies, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), in accordance with the provisions of Section 103 thereof, |
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| April 8, 2026 |
Exhibit 10.1 FORM OF EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”) is dated as of April 7, 2026 between AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), and the purchaser identified on Annex A hereto (each, including its successors and assigns, the “Investor”). WHEREAS, the Investor is a holder of a senior note in the principal amount set forth on Annex A here |
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| April 8, 2026 |
Exhibit 10.3 PLACEMENT AGENCY AGREEMENT April 7, 2026 Univest Securities, LLC 75 Rockefeller Plaza, Suite 18C New York, NY, 10019 Ladies and Gentlemen: This letter (the “Agreement”) constitutes the agreement by and between Univest Securities, LLC (“Univest” or the “Placement Agent”) and AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), pursuant to which the Placement Agent s |
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| March 31, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (C |
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| March 31, 2026 |
AQUABOUNTY TECHNOLOGIES, INC. DESCRIPTION OF SECURITIES Exhibit 4.3 AQUABOUNTY TECHNOLOGIES, INC. DESCRIPTION OF SECURITIES The following description of the securities of AquaBounty Technologies, Inc. (the “Company” or “our”) is only a summary and does not purport to be complete. It is subject to and qualified in its entirety by reference to the Third Amended and Restated Certificate of Incorporation, the Amended and Restated Bylaws, and the form of |
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| March 31, 2026 |
List of Subsidiaries of AquaBounty Technologies, Inc. EXHIBIT 21.1 List of Subsidiaries of AquaBounty Technologies, Inc. The following is a list of subsidiaries of AquaBounty Technologies, Inc., the names under which such subsidiaries do business, and the state or country in which each was organized: Name Jurisdiction of Organization Aqua Bounty Farms Chile Limitada Chile AquaBounty Farms, Inc. Delaware AquaBounty Farms Indiana LLC Delaware A |
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| March 31, 2026 |
AQUABOUNTY FARMS OHIO LLC SECURED PROMISSORY NOTE (“NOTE”) Exhibit 10.11 AQUABOUNTY FARMS OHIO LLC SECURED PROMISSORY NOTE (“NOTE”) (the “Note Date”) June 11, 2025 (the “Note Date”) FOR VALUE RECEIVED, AQUABOUNTY FARMS OHIO LLC, an Ohio limited liability company, with its principal place of business located at 233 Ayer Road, Suite 4 Harvard, MA 01451 (“Maker,”), promises to pay to the order of ARTESIAN OF PIONEER, INC, with its principal place of bu |
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| March 31, 2026 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 31, 2026 |
EXECUTIVE EMPLOYMENT AGREEMENT EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into between Alejandro Rojas (“Employee”) and AquaBounty Technologies, Inc. |
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| February 12, 2026 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-292411 PROSPECTUS SUPPLEMENT (to Prospectus dated January 12, 2026) 1,269,509 Shares of Common Stock Pre-Funded Warrants to Purchase up to 67,706 Shares of Common Stock (and 67,706 Shares of Common Stock underlying such Pre-Funded Warrants) AQUABOUNTY TECHNOLOGIES, INC. Pursuant to this prospectus supplement and the accompanying prospectus, Aqu |
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| February 12, 2026 |
SECURITIES PURCHASE AGREEMENT Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 11, 2026, between AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and |
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| February 12, 2026 |
Exhibit 10.2 PLACEMENT AGENCY AGREEMENT February 11, 2026 Univest Securities, LLC 75 Rockefeller Plaza, Suite 18C New York, NY, 10019 Ladies and Gentlemen: This letter (the “Agreement”) constitutes the agreement by and between Univest Securities, LLC (“Univest” or the “Placement Agent”) and AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), pursuant to which the Placement Age |
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| February 12, 2026 |
PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK OF AQUABOUNTY TECHNOLOGIES, INC. Exhibit 4.1 PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK OF AQUABOUNTY TECHNOLOGIES, INC. Warrant Shares: [] Initial Exercise Date: February 13, 2026 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set for |
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| February 12, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 11, 2026 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Co |
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| February 4, 2026 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (C |
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| January 7, 2026 |
As filed with the Securities and Exchange Commission on January 7, 2026 As filed with the Securities and Exchange Commission on January 7, 2026 Registration No. |
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| December 23, 2025 |
Exhibit 4.1 AQUABOUNTY TECHNOLOGIES, INC. SENIOR DEBT INDENTURE DATED AS OF , 20 [], AS TRUSTEE TABLE OF CONTENTS Page DEFINITIONS AND INCORPORATION BY REFERENCE1 Definitions1 Other Definitions4 Incorporation by Reference of Trust Indenture Act5 Rules of Construction5 THE SECURITIES6 Issuable in Series6 Establishment of Terms of Series of Securities6 Execution and Authentication8 R |
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| December 23, 2025 |
Calculation of Filing Fee Tables S-3 AQUABOUNTY TECHNOLOGIES INC Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Equity Common Stock, par value $0. |
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| December 23, 2025 |
Exhibit 4.2 AQUABOUNTY TECHNOLOGIES, INC. SUBORDINATED INDENTURE DATED AS OF , 20 [], AS TRUSTEE TABLE OF CONTENTS Page DEFINITIONS AND INCORPORATION BY REFERENCE1 Definitions1 Other Definitions6 Incorporation by Reference of Trust Indenture Act6 Rules of Construction6 THE SECURITIES7 Issuable in Series7 Establishment of Terms of Series of Securities7 Execution and Authentication9 Re |
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| December 23, 2025 |
As filed with the Securities and Exchange Commission on December 23, 2025 As filed with the Securities and Exchange Commission on December 23, 2025 Registration No. |
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| October 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| October 28, 2025 |
Exhibit 10.2 PLACEMENT AGENCY AGREEMENT October 28, 2025 Univest Securities, LLC 75 Rockefeller Plaza, Suite 1838 New York, NY 10019 Ladies and Gentlemen: Subject to the terms and conditions herein (this “Agreement”) and the Transaction Documents (defined below), AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), has agreed to issue and sell up to an aggregate $4,000,000 in pri |
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| October 28, 2025 |
FORM OF NOTE PURCHASE AGREEMENT Exhibit 10.1 FORM OF NOTE PURCHASE AGREEMENT This Note Purchase Agreement (this “Agreement”) is dated as of October 28, 2025 between AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), and the purchaser identified on Annex A hereto (each, including its successors and assigns, the “Investor”). WHEREAS, the Investor wishes to purchase from the Company, and the Company wishes to is |
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| October 28, 2025 |
AquaBounty Technologies Announces Third Quarter 2025 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Third Quarter 2025 Financial Results HARVARD, Mass., October 28, 2025 –AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the third quarter and nine months ended September 30, 2 |
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| October 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| October 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2025 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 AquaBounty Techn |
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| September 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (C |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 5, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| August 5, 2025 |
AquaBounty Technologies Announces Second Quarter 2025 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Second Quarter 2025 Financial Results HARVARD, Mass., August 5, 2025 –AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the second quarter and six months ended June 30, 2025. S |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 AquaBounty Technologi |
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| June 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 12, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commis |
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| May 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant □ Check the appropriate box: □ Preliminary Proxy Statement |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 AquaBounty Technolog |
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| May 15, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 15, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| May 15, 2025 |
AquaBounty Technologies Announces First Quarter 2025 Financial Results EX-99.1 2 aqb-20250515xex991.htm EX-99.1 Exhibit 99.1 AquaBounty Technologies Announces First Quarter 2025 Financial Results HARVARD, Mass., May 15, 2025 –AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the first quarter |
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| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 11, 2025 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| March 27, 2025 |
AquaBounty Technologies Announces Full Year 2024 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Full Year 2024 Financial Results HARVARD, Mass., March 27, 2025 –AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the full year ended December 31, 2024. Full Year 2024 Highlig |
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| March 27, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 27, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| March 27, 2025 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 27, 2025 |
List of Subsidiaries of AquaBounty Technologies, Inc. EXHIBIT 21.1 List of Subsidiaries of AquaBounty Technologies, Inc. The following is a list of subsidiaries of AquaBounty Technologies, Inc., the names under which such subsidiaries do business, and the state or country in which each was organized: Name Jurisdiction of Organization AquaBounty Brasil Participações Ltda. Brazil AQUA Bounty Canada Inc. Canada Aqua Bounty Farms Chile Limitada C |
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| March 27, 2025 |
Exhibit 19.1 AQUABOUNTY TECHNOLOGIES, INC. INSIDER TRADING POLICY (Adopted April 15, 2014; Reviewed March 4, 2025) I.Introduction The purpose of this Insider Trading Policy (this “Policy”) is to promote compliance with applicable securities laws by AquaBounty Technologies, Inc. (the “Company”) and its subsidiaries and all directors, officers, employees and agents thereof (and members of the forgoi |
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| March 4, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 27, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Co |
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| March 4, 2025 |
Exhibit 10.1 SHARE PURCHASE AGREEMENT AQUABOUNTY TECHNOLOGIES, INC. and KELLY COVE SALMON LTD. February 27, 2025 Exhibit 10.1 TABLE OF CONTENTS ARTICLE 1 Definitions and Interpretation 1 1.1 Defined Terms 1 1.2 Headings and Table of Contents 11 1.3 Gender, Number and Grammatical Changes 12 1.4 Currency and Payment Obligations 12 1.5 Calculation of Interest |
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| January 17, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 15, 2025 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| December 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 6, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| December 11, 2024 |
AquaBounty Announces Plans to Cease Fish Farming Operations Exhibit 99.1 AquaBounty Announces Plans to Cease Fish Farming Operations HARVARD, Mass., December 11, 2024 – The Board of Directors of AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty,” “we,” “our” or the “Company”) today announced that the Company will wind down its hatchery operations in Bay Fortune, including a reduction of its workforce and the exit of several senior management members |
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| November 5, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3642 |
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| November 5, 2024 |
AquaBounty Technologies Announces Third Quarter 2024 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Third Quarter 2024 Financial Results HARVARD, Mass., November 5, 2024 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the third quarter and nine months ended September 30, |
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| November 5, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 5, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| September 3, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 3, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Co |
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| September 3, 2024 |
AquaBounty Technologies Provides Update Exhibit 99.1 AquaBounty Technologies Provides Update HARVARD, Mass., September 3, 2024 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced an update on the Company’s fundraising efforts. As previously announced, AquaBounty has been exploring a wide range of f |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 6, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| August 6, 2024 |
AquaBounty Technologies Announces Second Quarter 2024 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Second Quarter 2024 Financial Results HARVARD, Mass., August 6, 2024 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the second quarter and six months ended June 30, 2024. |
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| August 6, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aqu |
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| July 2, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 28, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commis |
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| July 2, 2024 |
Execution Version ASSET PURCHASE AGREEMENT by and among AQUABOUNTY FARMS OHIO LLC, AQUABOUNTY FARMS INDIANA LLC, and SUPERIOR FRESH LLC Dated as of June 28, 2024 Table of Contents Page ARTICLE 1: DEFINITIONS 1 ARTICLE 2: PURCHASE AND SALE of assets; assumption of liabilities 8 2. |
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| June 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 6, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| June 7, 2024 |
Exhibit 99.1 David F. Melbourne Jr. Promoted to AquaBounty’s Chief Executive Officer; Sylvia Wulf to Continue as Board Chair HARVARD, Mass., June 7, 2024 – The Board of Directors of AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that David F. Melbourne Jr. |
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| May 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant □ Check the appropriate box: □ Preliminary Proxy Statement |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 15, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| May 15, 2024 |
AquaBounty Technologies Announces First Quarter 2024 Financial Results Exhibit 99.1 AquaBounty Technologies Announces First Quarter 2024 Financial Results HARVARD, Mass., May 15, 2024 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the first quarter ended March 31, 2024. First Quarter 2024 |
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| May 15, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aq |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
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| April 19, 2024 |
Exhibit 10.1 LOAN AND SECURITY AGREEMENT AMONG JMB CAPITAL PARTNERS LENDING, LLC, THE “LENDER” AND AQUABOUNTY TECHNOLOGIES, INC., A DELAWARE CORPORATION AQUABOUNTY FARMS, INC., A DELAWARE CORPORATION AQUABOUNTY FARMS INDIANA LLC, A DELAWARE LIMITED LIABILITY COMPANY AND AQUABOUNTY FARMS OHIO LLC, AN OHIO LIMITED LIABILITY COMPANY, EACH, A “BORROWER” AND COLLECTIVELY, THE “BORROWERS” |
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| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 12, 2024 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 1, 2024 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2024 |
List of Subsidiaries of AquaBounty Technologies, Inc. EXHIBIT 21.1 List of Subsidiaries of AquaBounty Technologies, Inc. The following is a list of subsidiaries of AquaBounty Technologies, Inc., the names under which such subsidiaries do business, and the state or country in which each was organized: Name Jurisdiction of Organization AquaBounty Brasil Participações Ltda. Brazil AQUA Bounty Canada Inc. Canada Aqua Bounty Farms Chile Limitada C |
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| April 1, 2024 |
Compensation Recovery Policy, Adopted November 1, 2023 Exhibit 97.1 AQUABOUNTY TECHNOLOGIES, INC. COMPENSATION RECOVERY POLICY Adopted as of November 1, 2023 AquaBounty Technologies, Inc., a Delaware corporation (together with its subsidiaries, the “Company”), has adopted a Compensation Recovery Policy (this “Policy”) as described below. 1. Overview The Policy sets forth the circumstances and procedures under which the Company shall recover Erroneousl |
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| April 1, 2024 |
AquaBounty Technologies Announces Fourth Quarter and Full Year 2023 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Fourth Quarter and Full Year 2023 Financial Results HARVARD, Mass., April 1, 2024 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the fourth quarter and full year ended Dec |
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| April 1, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commis |
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| February 14, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 14, 2024 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Co |
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| February 14, 2024 |
AquaBounty Technologies Provides Fundraising Update Exhibit 99.1 AquaBounty Technologies Provides Fundraising Update MAYNARD, Mass., February 14, 2024 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced an update on the Company’s fundraising efforts. As previously announced in November 2023, AquaBounty has bee |
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| November 7, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3642 |
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| November 7, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 7, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| November 7, 2023 |
AquaBounty Technologies Announces Third Quarter 2023 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Third Quarter 2023 Financial Results MAYNARD, Mass., November 7, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the third quarter and nine months ended September 30, |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 30, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| October 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 12, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| October 13, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AQUABOUNTY TECHNOLOGIES, INC. AquaBounty Technologies, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify: 1. Pursuant to Section 242 of the DGCL, this Certificate of Amendmen |
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| October 13, 2023 |
AquaBounty Technologies Announces Reverse Stock Split Exhibit 99.1 AquaBounty Technologies Announces Reverse Stock Split MAYNARD, Mass., October 13, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that its Board of Directors has approved a 1-for-20 reverse stock split of its common stock to be effective |
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| September 1, 2023 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 1, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
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| August 14, 2023 |
AquaBounty Technologies Announces Promotion of David F. Melbourne Jr. to President Exhibit 99.1 AquaBounty Technologies Announces Promotion of David F. Melbourne Jr. to President MAYNARD, Mass., August 14, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that with the ascension of Sylvia Wulf to the role of Board Chair and her conti |
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| August 4, 2023 |
PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 1, 2023 |
AquaBounty Technologies Announces Second Quarter 2023 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Second Quarter 2023 Financial Results MAYNARD, Mass., August 1, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the second quarter and six months ended June 30, 2023. |
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| August 1, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aqu |
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| August 1, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 1, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 29, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| June 30, 2023 |
AQB / AquaBounty Technologies Inc / KIRK RANDAL J - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Amendment No. |
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| June 30, 2023 |
EX-10.1 Exhibit 10.1 AGREEMENT FOR CONSTRUCTION MANAGEMENT SERVICES BETWEEN AQUABOUNTY FARMS OHIO LLC AND GILBANE BUILDING COMPANY Dated: June 29, 2023 TABLE OF CONTENTS Page PART I AGREEMENT FOR CONSTRUCTION SERVICES 1 1. OWNER 2 2. CONSTRUCTION MANAGER 3 3. DESIGN SERVICE PROVIDERS 3 4. PROJECT 3 5. REQUIRED MILESTONE DATES 3 6. CONTRACT PRICE / COST OF THE PROJECT 4 7. DISPUTE RESOLUTION |
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| June 7, 2023 |
AQB / AquaBounty Technologies Inc / KIRK RANDAL J - SC 13D/A Activist Investment SC 13D/A 1 brhc20054155sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Amendment No. 9)* Under the Securities Exchange Act of 1934 AQUABOUNTY TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) UO387J108 (CUSIP Number) Third Security, LLC 1881 Grove Avenue Radford, Virginia 24141 Attentio |
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| June 6, 2023 |
EX-FILING FEES 4 d445761dexfilingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) AquaBounty Technologies, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee |
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| June 6, 2023 |
As filed with the Securities and Exchange Commission on June 6, 2023 S-8 As filed with the Securities and Exchange Commission on June 6, 2023 Registration No. |
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| June 2, 2023 |
Exhibit 99.1 AquaBounty Announces a Pause to Ohio Farm Construction While It Evaluates Scope Alternatives and a Possible Phased Approach MAYNARD, Mass., June 2, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance operational performance and sustainability, announced today that the Company will pa |
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| June 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 2, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| May 26, 2023 |
Exhibit 10.1 AquaBounty Technologies, Inc. Amendment No. 3 to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan AquaBounty Technologies, Inc., a Delaware corporation (the "Company"), by action of its Board of Directors taken in accordance with the authority granted to it by Section 2(b)(vii) of the AquaBounty Technologies Inc. 2016 Equity Incentive Plan (the "Plan"), hereby am |
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| May 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 25, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| May 4, 2023 |
EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into between Angela Olsen (“Employee”) and AquaBounty Technologies, Inc. |
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| May 4, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aq |
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| May 4, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 4, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commissi |
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| May 4, 2023 |
Exhibit 10.4 AQUABOUNTY TECHNOLOGIES, INC. 2016 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT This Restricted Stock Unit Agreement (this “Agreement”) is made as of the Grant Date identified below (the “Grant Date”) by and between AquaBounty Technologies, Inc., a Delaware corporation (the “Company”), and the Grantee identified below (“Grantee”). Capitalized terms used in this Agreement, if |
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| May 4, 2023 |
Exhibit 10.2 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”) is entered into between David A. Frank (“Employee”) and AquaBounty Technologies, Inc., a Delaware corporation (“AquaBounty”), as of the Effective Date set forth on Schedule A hereto (the “Effective Date”). AquaBounty and Employee are at times herein referred to individually as a “Party” and collectively as the |
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| May 4, 2023 |
AquaBounty Technologies Announces First Quarter 2023 Financial Results Exhibit 99.1 AquaBounty Technologies Announces First Quarter 2023 Financial Results MAYNARD, Mass., May 4, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the quarter ended March 31, 2023. First Quarter 2023 Highli |
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| April 14, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ց ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 տ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36426 AquaBounty Technologies, Inc |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 31, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| March 30, 2023 |
AquaBounty Technologies Announces Retirement of Richard J. Clothier from Board of Directors Exhibit 99.1 AquaBounty Technologies Announces Retirement of Richard J. Clothier from Board of Directors MAYNARD, Mass., March 30, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that Richard J. Clothier will retire from the AquaBounty Board of Direc |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 30, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| March 7, 2023 |
List of Subsidiaries of AquaBounty Technologies, Inc. EXHIBIT 21.1 List of Subsidiaries of AquaBounty Technologies, Inc. The following is a list of subsidiaries of AquaBounty Technologies, Inc., the names under which such subsidiaries do business, and the state or country in which each was organized: Name Jurisdiction of Organization AquaBounty Brasil Participações Ltda. Brazil AQUA Bounty Canada Inc. Canada Aqua Bounty Farms Chile Limitada C |
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| March 7, 2023 |
AquaBounty Technologies Announces Fourth Quarter and Full Year 2022 Financial Results Exhibit 99.1 AquaBounty Technologies Announces Fourth Quarter and Full Year 2022 Financial Results MAYNARD, Mass., March 7, 2023 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the fourth quarter and full year ended Dec |
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| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 7, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commis |
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| March 7, 2023 |
Table of Contents Hell UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 1, 2023 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| March 3, 2023 |
EX-10.1 Exhibit 10.1 AGREEMENT FOR ARCHITECTURAL/ENGINEERING SERVICES BETWEEN AQUABOUNTY FARMS OHIO LLC AND CLARK, RICHARDSON AND BISKUP CONSULTING ENGINEERS, INC. Dated: March 1, 2023 TABLE OF CONTENTS Page ARTICLE 1: PROJECT GOALS AND COORDINATION 2 1.1 Project Goals 2 1.2 Coordination with Owner’s Other Consultants 3 1.3 A/E’s Designated Representative 3 1.4 Owner’s Project Manager 3 1.5 Constr |
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| November 8, 2022 |
Exhibit 3.5 ? CERTIFICATE OF VALIDATION OF AQUABOUNTY TECHNOLOGIES, INC. ? Pursuant to Section 204 of the General Corporation Law of the State of Delaware AquaBounty Technologies, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Company?), certifies as follows: ? 1.The defective corporate acts that are the subject of this Certificate of Validation are the ap |
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| November 8, 2022 |
AquaBounty Technologies Announces Third Quarter Financial Results Exhibit 99.1 AquaBounty Technologies Announces Third Quarter Financial Results MAYNARD, Mass., November 8, 2022 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the third quarter and nine-months ended September 30, 2022. |
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| November 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 8, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| November 8, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3642 |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 31, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| October 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 13, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| September 15, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Co |
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| September 15, 2022 |
Exhibit 99.1 A BETTER WAY TO FEED THE WORLD. A SMART INVESTMENT. AquaBounty Technologies, Inc. | NASDAQ: AQB | September 2022 1 2022 ANALYST DAY PRESENTATION Forward-Looking Statements Safe Harbor Statement This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as ame |
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| August 31, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| August 19, 2022 |
PRE 14A 1 d342878dpre14a.htm PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Com |
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| August 11, 2022 |
Exhibit 99.1 I N V E S T O R P R E S E N T A T I O N AquaBounty Technologies, Inc. NASDAQ: AQB August 2022 AquaBounty.com 1 Forward-Looking Statements Safe Harbor Statement This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. All statements other than st |
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| August 11, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 11, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commi |
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| August 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 9, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commi |
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| August 9, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aqu |
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| August 9, 2022 |
AquaBounty Technologies, Inc. Announces Second Quarter 2022 Financial Results Exhibit 99.1 AquaBounty Technologies, Inc. Announces Second Quarter 2022 Financial Results MAYNARD, Mass., August 9, 2022 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company?s financial results for the second quarter ended June 30, 2022. Second Qu |
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| July 8, 2022 |
AQB / Aquabounty Technologies Inc / BlackRock Inc. Passive Investment us03842k2006070822.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) AQUABOUNTY TECHNOLOGIES, INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 03842K200 - (CUSIP Number) June 30, 2022 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| May 27, 2022 |
Exhibit 3.1 ? CERTIFICATE OF AMENDMENT TO THE THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AQUABOUNTY TECHNOLOGIES, INC. AquaBounty Technologies, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?Corporation?) does hereby certify: FIRST: That, at a meeting of the Board of Directors of the Corporation on March |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 27, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commiss |
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| May 20, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 20, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commissi |
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| May 20, 2022 |
Exhibit 99.1 Proxy Advisory Firm ISS Recommends Vote ?FOR? the Charter Amendment Proposal ? To Increase the Number of Authorized Shares of Common Stock MAYNARD, Mass., May 20, 2022 ? AquaBounty Technologies, Inc. (NASDAQ: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that leading proxy advisor |
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| May 17, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 16, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| May 17, 2022 |
AquaBounty Announces Adjournment of Annual Meeting of Stockholders until May 27, 2022 Exhibit 99.2 AquaBounty Announces Adjournment of Annual Meeting of Stockholders until May 27, 2022 MAYNARD, Mass., May 17, 2022 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the adjournment of its 2022 Annual Meeting of Stockholders (?Annual Meeting?), |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 5, 2022 |
AquaBounty Technologies Announces First Quarter 2022 Financial Results Exhibit 99.1 AquaBounty Technologies Announces First Quarter 2022 Financial Results MAYNARD, Mass., May 5, 2022 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company?s financial results for the quarter ended March 31, 2022. First Quarter 2022 Highli |
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| May 5, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 5, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commissi |
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| May 5, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aq |
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| April 14, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 4, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| March 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? ? Check the appropriate box: ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| March 10, 2022 |
AquaBounty Technologies Announces Results for the Quarter and Year Ended December 31, 2021 Exhibit 99.1 AquaBounty Technologies Announces Results for the Quarter and Year Ended December 31, 2021 MAYNARD, Mass., March 10, 2022 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company?s financial results for the fourth quarter and full year end |
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| March 10, 2022 |
List of Subsidiaries of AquaBounty Technologies, Inc. EXHIBIT 21.1 ? List of Subsidiaries of AquaBounty Technologies, Inc. ? The following is a list of subsidiaries of AquaBounty Technologies, Inc., the names under which such subsidiaries do business, and the state or country in which each was organized: ? ? Name Jurisdiction of Organization AquaBounty Brasil Participa??es Ltda. Brazil AQUA Bounty Canada Inc. Canada Aqua Bounty Farms Chile Limitada C |
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| March 10, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36426 AquaBounty |
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| March 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 10, 2022 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commi |
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| February 9, 2022 |
AQB / Aquabounty Technologies Inc / ARK Investment Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 4, 2022 |
AQB / Aquabounty Technologies Inc / BlackRock Inc. Passive Investment us03842k2006020422.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) AQUABOUNTY TECHNOLOGIES, INC. - (Name of Issuer) Common Stock - (Title of Class of Securities) 03842K200 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| November 24, 2021 |
Exhibit 1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of AquaBounty Technologies, Inc. |
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| November 24, 2021 |
AQB / Aquabounty Technologies Inc / KIRK RANDAL J - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Amendment No. |
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| November 22, 2021 |
Exhibit 1.1 11,200,000 SHARES OF COMMON STOCK OF AQUABOUNTY TECHNOLOGIES, INC. UNDERWRITING AGREEMENT November 19, 2021 OPPENHEIMER & CO. INC. LAKE STREET CAPITAL MARKETS, LLC As Representatives of the several Underwriters named in Schedule II hereto c/o Oppenheimer & Co. Inc. 85 Broad Street New York, New York 10004 c/o Lake Street Capital Markets, LLC 920 Second Ave South, Suite 700 Minneapolis, |
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| November 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 22, 2021(November 18, 2021) AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of |
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| November 22, 2021 |
Exhibit 99.1 AquaBounty Technologies, Inc. Announces Proposed Public Offering of Common Stock by Selling Stockholders MAYNARD, Mass., November 18, 2021 (GLOBE NEWSWIRE) ? AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that it has commenced a proposed under |
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| November 22, 2021 |
11,200,000 Shares Common Stock Offered by the Selling Shareholders Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-258561 PROSPECTUS SUPPLEMENT (to Prospectus dated August 20, 2021) 11,200,000 Shares Common Stock Offered by the Selling Shareholders This prospectus supplement relates solely to the proposed resale or other disposition of an aggregate of 11,200,000 shares of common stock, $0.001 par value per share (the ?Shares?), of AquaBoun |
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| November 22, 2021 |
Exhibit 99.2 AquaBounty Technologies, Inc. Announces Pricing of the Public Secondary Offering of Common Stock by Selling Stockholders MAYNARD, Mass., November 18, 2021 (GLOBE NEWSWIRE) ? AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the pricing of the pre |
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| November 18, 2021 |
Subject to Completion, dated November 18, 2021 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-258561 This preliminary prospectus supplement and the accompanying prospectus relate to an effective registration statement under the Securities Act of 1933, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus a |
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| November 15, 2021 |
Exhibit 99.1 I N V E S T O R P R E S E N T A T I O N AquaBounty Technologies, Inc. NASDAQ: AQB November 2021 AquaBounty.com 1 Forward-Looking Statements Safe Harbor Statement This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. All statements other than |
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| November 15, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 15, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| November 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3642 |
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| November 4, 2021 |
Exhibit 99.1 AquaBounty Technologies, Inc. Announces Results for the Quarter and Nine Months Ended September 30, 2021 MAYNARD, Mass., November 4, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, has provided financial results for the third quarter and nine months end |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 4, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Com |
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| November 2, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 2, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Com |
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| November 2, 2021 |
Exhibit 99.1 AquaBounty Technologies Provides Progress Update on Planned 10,000 Metric Ton Salmon Farm in Pioneer, Ohio ? Site Engineering Designs and Permitting Underway, Company to Break Ground by Year-End MAYNARD, Mass., November 2, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity an |
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| September 10, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 9, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Co |
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| September 10, 2021 |
AquaBounty Technologies to Present at Upcoming Investor Conferences in September Exhibit 99.1 AquaBounty Technologies to Present at Upcoming Investor Conferences in September MAYNARD, Mass., September 9, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, will participate in the following investor conferences during the month of September 2021: H.C. |
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| September 10, 2021 |
Exhibit 99.2 ? AquaBounty INVESTOR PRESENTATION AquaBounty Technologies, Inc. NASDAQ: AQB September 2021 ? Forward-Looking Statements Safe Harbor Statement This presentation contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. All statements other than statements of histo |
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| August 20, 2021 |
18,219,824 Shares Common Stock Offered by the Selling Shareholders Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-258561 PROSPECTUS 18,219,824 Shares Common Stock Offered by the Selling Shareholders This prospectus relates solely to the proposed resale or other disposition, from time to time, of up to 18,219,824 shares of common stock, $0.001 par value per share (the “Shares”), of AquaBounty Technologies, Inc. (the “Company,” “we” or “us” |
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| August 17, 2021 |
AquaBounty Technologies, Inc. Two Mill & Main Place, Suite 395 Maynard, Massachusetts 01754 August 17, 2021 VIA EDGAR Irene Paik U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: AquaBounty Technologies, Inc. Acceleration Request for Registration Statement on Form S-3, as Amended File No. 333-258561 Filed August 6, 2021 Requested |
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| August 16, 2021 |
United States securities and exchange commission logo August 16, 2021 David A. Frank Chief Financial Officer AquaBounty Technologies, Inc. Two Mill & Main Place, Suite 395 Maynard, Massachusetts 01754 Re: AquaBounty Technologies, Inc. Registration Statement on Form S-3 Filed August 6, 2021 File No. 333-258561 Dear Mr. Frank: This is to advise you that we have not reviewed and will not review your |
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| August 13, 2021 |
As filed with the Securities and Exchange Commission on August 13, 2021. Table of Contents As filed with the Securities and Exchange Commission on August 13, 2021. |
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| August 10, 2021 |
AQB / Aquabounty Technologies Inc / ARK Investment Management LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| August 6, 2021 |
As filed with the Securities and Exchange Commission on August 6, 2021. Table of Contents As filed with the Securities and Exchange Commission on August 6, 2021. |
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| August 4, 2021 |
LETTER AGREEMENT ? THIS LETTER AGREEMENT (this ?Agreement?) is made as of July 30, 2021, by and among AquaBounty Technologies, Inc. |
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| August 4, 2021 |
Form of Indemnification Agreement for directors and officers Exhibit 10.2 INDEMNIFICATION And Advancement AGREEMENT ? This Indemnification and Advancement Agreement (?Agreement?) is made as of , 20 by and between AquaBounty Technologies, Inc., a Delaware corporation (the ?Company?), and , [a member of the Board of Directors / an officer] of the Company (?Indemnitee?). This Agreement supersedes and replaces any and all previous agreements between the Company |
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| August 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aqu |
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| August 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 4, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commi |
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| August 4, 2021 |
Form of Indemnification Agreement for RJ Kirk Appointees to the Registrant’s Board of Directors Exhibit 10.3 INDEMNIFICATION And Advancement AGREEMENT ? This Indemnification and Advancement Agreement (?Agreement?) is made as of , 20 by and between AquaBounty Technologies, Inc., a Delaware corporation (the ?Company?), and , a member of the Board of Directors of the Company (?Indemnitee?). This Agreement supersedes and replaces any and all previous agreements between the Company and Indemnitee |
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| August 4, 2021 |
Exhibit 99.1 AquaBounty Technologies Announces Financial Results for the Quarter and Six Months Ended June 30, 2021 ? Successful First Harvests of GE Salmon Completed and Site Selected for First Large-Scale Farm ? MAYNARD, Mass., August 4, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivit |
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| July 29, 2021 |
AquaBounty Technologies Announces Pioneer, Ohio as Location for Planned Salmon Farm Exhibit 99.1 AquaBounty Technologies Announces Pioneer, Ohio as Location for Planned Salmon Farm MAYNARD, Mass., July 29, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that it has identified Pioneer, Ohio as the location for its planned large-scale |
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| July 29, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 29, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commis |
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| July 7, 2021 |
Exhibit 16.1 ? ? ? July 6, 2021 ? ? Securities and exchange Commission 100 F Street, N.E. Washington, DC 20549 ? ? Ladies and Gentlemen: ? We have read the Item 4.01 of Form 8-K dated July 6, 2021 of AquaBounty Technologies, Inc. and are in agreement with the statements contained in the second, third, fourth and fifth paragraphs of page 2 therein. We have no basis to disagree with other statements |
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| July 7, 2021 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 6, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commiss |
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| May 28, 2021 |
Regulation FD Disclosure, Submission of Matters to a Vote of Security Holders ? ? ? UNITED STATES ? SECURITIES AND EXCHANGE COMMISSION ? Washington, D.C. 20549 ? ? Form 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) May 28, 2021 ? AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) ? ? Delaware 001-36426 04-3156167 (State or other jurisdiction o |
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| May 10, 2021 |
Exhibit 99.1 AquaBounty Sells Out the First Commercial-Scale Harvest of Genetically Engineered Atlantic Salmon from its Indiana Farm ? With end of May harvest, land-based aquaculture company is poised to provide a sustainable, secure, domestic source of farm-raised salmon ? MAYNARD, Mass, May 10, 2021 ? AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquac |
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| May 10, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 10, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commiss |
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| May 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 Aq |
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| May 4, 2021 |
AquaBounty Technologies Announces First Quarter 2021 Financial Results Exhibit 99.1 AquaBounty Technologies Announces First Quarter 2021 Financial Results ? MAYNARD, Mass., May 4, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company?s financial results for its fiscal first quarter ended March 31, 2021. ? First Qu |
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| May 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 4, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commissi |
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| April 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a party other than the Registrant ? ? Check the appropriate box: ? ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| March 9, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-36426 AquaBounty |
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| March 9, 2021 |
AquaBounty Technologies Announces Results for the Quarter and Year Ended December 31, 2020 Exhibit 99.1 AquaBounty Technologies Announces Results for the Quarter and Year Ended December 31, 2020 MAYNARD, Mass., March 9, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the Company’s financial results for the fourth quarter and full year en |
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| March 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 9, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction ?of incorporation) (Commis |
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| March 9, 2021 |
List of Subsidiaries of AquaBounty Technologies, Inc. EXHIBIT 21.1 ? List of Subsidiaries of AquaBounty Technologies, Inc. ? The following is a list of subsidiaries of AquaBounty Technologies, Inc., the names under which such subsidiaries do business, and the state or country in which each was organized: ? ? Name Jurisdiction of Organization AquaBounty Brasil Participa??es Ltda. Brazil AQUA Bounty Canada Inc. Canada Aqua Bounty Farms Chile Limitada C |
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| March 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 2, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Commiss |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 8, 2021 |
Exhibit 99.1 AquaBounty Technologies, Inc. Announces Closing of $127.1 Million Public Offering of Common Stock, Including Full Exercise of Overallotment Option MAYNARD, MASS. – February 8, 2021 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the closing o |
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| February 8, 2021 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 8, 2021 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
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| February 5, 2021 |
AquaBounty Technologies, Inc. Announces Proposed Public Offering of Common Stock EX-99.1 Exhibit 99.1 AquaBounty Technologies, Inc. Announces Proposed Public Offering of Common Stock MAYNARD, Mass., Feb. 3, 2021 (GLOBE NEWSWIRE) — AquaBounty Technologies, Inc. (Nasdaq: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that it has commenced a proposed underwritten public offeri |
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| February 5, 2021 |
AquaBounty Technologies, Inc. Announces Pricing of $110.5 Million Public Offering of Common Stock EX-99.2 Exhibit 99.2 AquaBounty Technologies, Inc. Announces Pricing of $110.5 Million Public Offering of Common Stock MAYNARD, Mass., Feb. 4, 2021 (GLOBE NEWSWIRE) — AquaBounty Technologies, Inc. (Nasdaq: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the pricing of its previously announced un |
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| February 5, 2021 |
13,000,000 shares of common stock 424B5 Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-252264 Prospectus Supplement (to Prospectus dated January 25, 2021) 13,000,000 shares of common stock We are offering 13,000,000 shares of our common stock, par value $0.001 per share, at a price of $8.50 per share. Our common stock is listed on The Nasdaq Capital Market under the symbol “AQB.” The last reported sale pri |
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| February 5, 2021 |
EX-1.1 Exhibit 1.1 Execution Version 13,000,000 SHARES OF COMMON STOCK OF AQUABOUNTY TECHNOLOGIES, INC. UNDERWRITING AGREEMENT February 3, 2021 OPPENHEIMER & CO. INC. LAKE STREET CAPITAL MARKETS, LLC As Representatives of the several Underwriters named in Schedule I hereto c/o Oppenheimer & Co. Inc. 85 Broad Street New York, New York 10004 c/o Lake Street Capital Markets, LLC 920 Second Ave South, |
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| February 5, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 5, 2021 (February 3, 2021) AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of i |
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| February 3, 2021 |
Subject to Completion, dated February 3, 2021 424B5 Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-252264 This preliminary prospectus supplement and the accompanying prospectus relate to an effective registration statement under the Securities Act of 1933, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospe |
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| January 25, 2021 |
United States securities and exchange commission logo January 25, 2021 David Frank Chief Financial Officer AquaBounty Technologies, Inc. |
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| January 25, 2021 |
United States securities and exchange commission logo January 25, 2021 David Frank Chief Financial Officer AquaBounty Technologies, Inc. |
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| January 25, 2021 |
January 25, 2021 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Kasey Robinson Re: AquaBounty Technologies, Inc. Registration Statement on Form S-3 (No. 333-252264) Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended, AquaBounty Technologies, Inc. hereby requests that the effective date of the above-referenced R |
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| January 20, 2021 |
Form of Senior Indenture between the Registrant and one or more trustees to be named EX-4.2 Exhibit 4.2 AQUABOUNTY TECHNOLOGIES, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 202[●] Senior Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS Section 1.01 Definitions of Terms ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES Section 2.01 Designation and Terms of Securities Section 2.02 Form of Securities and Trustee’s Certi |
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| January 20, 2021 |
Form of Subordinated Indenture between the Registrant and one or more trustees to be named EX-4.3 Exhibit 4.3 AQUABOUNTY TECHNOLOGIES, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 202[●] Subordinated Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS Section 1.01 Definitions of Terms ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES Section 2.0 Designation and Terms of Securities Section 2.02 Form of Securities and Trustee’s |
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| January 20, 2021 |
S-3 Table of Contents As filed with the Securities and Exchange Commission on January 20, 2021 Registration No. |
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| January 4, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Amendment No. 1 AquaBounty Technologies, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities |
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| December 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Amendment No. |
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| December 21, 2020 |
Exhibit 1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of AquaBounty Technologies, Inc. |
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| December 14, 2020 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 14, 2020 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| December 14, 2020 |
Exhibit 99.1 AquaBounty Technologies, Inc. Announces Closing of $65.2 Million Upsized Public Offering of Common Stock, Including Full Exercise of Overallotment Option MAYNARD, MASS. - December 14, 2020 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the c |
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| December 10, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 10, 2020 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| December 10, 2020 |
AquaBounty Technologies, Inc. Announces Proposed Public Offering of Common Stock Exhibit 99.1 AquaBounty Technologies, Inc. Announces Proposed Public Offering of Common Stock MAYNARD, Mass., Dec. 09, 2020 (GLOBE NEWSWIRE) - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that it has commenced a proposed underwritten public offering of c |
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| December 10, 2020 |
As filed with the Securities and Exchange Commission on December 10, 2020 Registration No. |
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| December 10, 2020 |
Exhibit 99.2 AquaBounty Technologies, Inc. Announces Pricing of $56.7 Million Upsized Public Offering of Common Stock MAYNARD, Mass., Dec. 10, 2020 (GLOBE NEWSWIRE) - AquaBounty Technologies, Inc. (Nasdaq: AQB) (?AquaBounty? or the ?Company?), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced the pricing of its previously announced un |
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| December 10, 2020 |
, as the representatives for the underwriters named therein. Exhibit 1.1 Execution Version 8,720,000 SHARES of Common Stock of AQUABOUNTY TECHNOLOGIES, INC. UNDERWRITING AGREEMENT December 10, 2020 Oppenheimer & Co. Inc. Lake Street Capital Markets, LLC As Representatives of the several Underwriters named in Schedule I hereto c/o Oppenheimer & Co. Inc. 85 Broad Street New York, New York 10004 c/o Lake Street Capital Markets, LLC 920 Second Ave South, Suite |
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| December 10, 2020 |
8,720,000 shares of common stock Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-224184 Prospectus Supplement (to Prospectus dated April 6, 2018, as amended on April 23, 2018) 8,720,000 shares of common stock We are offering 8,720,000 shares of our common stock, par value $0.001 per share, at a price of $6.50 per share. Our common stock is listed on The Nasdaq Capital Market under the symbol ?AQB.? The las |
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| December 9, 2020 |
AquaBounty Technologies, Inc. Provides Corporate Update Company Announces Selection of Innovasea as RAS Technology Provider and Provides Update on Planned Third Farm MAYNARD, Mass., December 9, 2020 - AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announces the sele |
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| December 9, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 9, 2020 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
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| December 9, 2020 |
Subject to Completion, dated December 9, 2020 424B5 Table of Contents This preliminary prospectus supplement and the accompanying prospectus relate to an effective registration statement under the Securities Act of 1933, but the information in this preliminary prospectus supplement is not complete and may be changed. |
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| November 19, 2020 |
EXHIBIT 3.1 CERTIFICATE OF AMENDMENT TO THE THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AQUABOUNTY TECHNOLOGIES, INC. AquaBounty Technologies, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”) does hereby certify: FIRST: That, at a meeting of the Board of Directors of the Corporation on October |
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| November 19, 2020 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 19, 2020 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Com |
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| November 10, 2020 |
AQB / AquaBounty Technologies, Inc. / ARK Investment Management LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 5, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 3, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 3, 2020 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
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| November 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36426 AquaBounty Techn |
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| November 3, 2020 |
AquaBounty Technologies, Inc. Announces Results for the Quarter and Nine Months Ended September 30, 2020 and Provides a Corporate Update MAYNARD, Mass., November 3, 2020 – AquaBounty Technologies, Inc. (NASDAQ: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, announces the Company’s financial results for the thi |
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| October 29, 2020 |
AquaBounty Technologies, Inc. Announces Mayfield, Kentucky as Potential Location for Planned 10,000 Metric Ton Salmon Farm MAYNARD, Mass., October 29, 2020 - AquaBounty Technologies, Inc. (Nasdaq: AQB) (“AquaBounty” or the “Company”), a land-based aquaculture company utilizing technology to enhance productivity and sustainability, today announced that it has identified Mayfield, Kentucky as the po |
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| October 29, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 29, 2020 AquaBounty Technologies, Inc. (Exact name of registrant as specified in its charter) Delaware 001-36426 04-3156167 (State or other jurisdiction of incorporation) (Comm |
