Statement of Changes in Beneficial Ownership (4)
December 21 2020 - 04:54PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * TURK
JAMES C JR |
2. Issuer Name and Ticker or Trading
Symbol AquaBounty Technologies, Inc. [ AQB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
C/O AQUABOUNTY TECHNOLOGIES, INC., 2 MILL & MAIN PLACE,
SUITE 395 |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/17/2020
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(Street)
MAYNARD, MA 01754
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/17/2020 |
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J(1) |
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462 |
A |
$0 |
17426 |
D |
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Common Stock |
12/17/2020 |
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J(2) |
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3 |
A |
$0 |
17429 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
On December 17, 2020, NRM VI
Holdings I, LLC made a liquidating distribution of its assets in
connection with the dissolution of the fund in accordance with the
terms of its Limited Liability Company Agreement. In connection
with this dissolution, the number of indicated shares was received
by the Reporting Person in his capacity as a limited partner of the
fund. |
(2) |
On December 17, 2020, NRM
VII Holdings I, LLC made a liquidating distribution of its assets
in connection with the dissolution of the fund in accordance with
the terms of its Limited Liability Company Agreement. In connection
with this dissolution, the number of indicated shares was received
by the Reporting Person in his capacity as a limited partner of the
fund. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
TURK JAMES C JR
C/O AQUABOUNTY TECHNOLOGIES, INC.
2 MILL & MAIN PLACE, SUITE 395
MAYNARD, MA 01754 |
X |
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Signatures
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/s/ David A. Frank, Name: David A. Frank,
attorney-in-fact |
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12/21/2020 |
**Signature of
Reporting Person |
Date |