Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AQUABOUNTY TECHNOLOGIES INCAQB · Entity 8187 | Chief Financial Officer | June 14, 2023 | June 16, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AQUABOUNTY TECHNOLOGIES INC
Report date June 14, 2023 · Filed June 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.36 · Expires 2033-03-09 | Direct | 70,269 |
Reported balance
After 2023-06-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-14 · Grant · Acquired 70,269 · Balance 70,269 F1: Options to purchase common stock were issued 06/14/2023, with a vest start date of 03/09/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and vest daily over three years from the date of grant |
Filing footnotes · ownership attribution and instrument terms
F1: Options to purchase common stock were issued 06/14/2023, with a vest start date of 03/09/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and vest daily over three years from the date of grant
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 14, 2023 Filed Jun 16, 2023 07:21 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 70,269 | $0.00 Strike: $0.36 | $0.00 |
DisclosureSEC source: 0001209191-23-037632 · doc4.xml · derivative · entry 1 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 70,269 Underlying: Common Stock · 70,269 shares Expires 2033-03-09 F1 · derivative.exercise_date: Options to purchase common stock were issued 06/14/2023, with a vest start date of 03/09/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and vest daily over three years from the date of grant Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 19:47 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 44,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-018289 · doc4.xml · nonDerivative · entry 1 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,798 F1 · shares: Award of restricted stock granted on 3/09/2023 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant F2 · balance_after: In prior filings, the reporting person inadvertently presented holdings on separate lines, which was not required. This presentation corrects the error. Read SEC document |
| March 09, 2023 Filed Apr 18, 2023 08:24 UTC Amendment | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 44,247 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-024583 · doc4a.xml · nonDerivative · entry 1 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,751 F1 · shares: Award of restricted stock unit ("RSU") granted on 3/09/2023 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant. Each RSU represents the right to receive one share of the Issuers Common Stock upon vesting. Read SEC document |
| December 13, 2022 Filed Dec 14, 2022 15:28 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | PurchaseCommon Stock | 10,000 | $0.65 | $6,500.00 |
DisclosureSEC source: 0001209191-22-061151 · doc4.xml · nonDerivative · entry 5 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F4 · balance_after: Purchase 10,000 shares at $.65 12/13/2022 Read SEC document |
| March 14, 2022 Filed Mar 16, 2022 14:59 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 23,564 | $0.00 Strike: $1.52 | $0.00 |
DisclosureSEC source: 0001209191-22-019164 · doc4.xml · derivative · entry 13 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,564 Underlying: Common Stock · 23,564 shares Expires 2032-03-14 F14 · derivative.exercise_date: Award of restricted stock granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that fully vests three years after the date of grant. Read SEC document |
| March 14, 2022 Filed Mar 16, 2022 14:59 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 8,977 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-019164 · doc4.xml · nonDerivative · entry 4 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,977 F3 · balance_after: Award of restricted stock granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant Read SEC document |
| March 14, 2022 Filed Mar 17, 2022 09:02 UTC Amendment | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 23,564 | $0.00 Strike: $1.52 | $0.00 |
DisclosureSEC source: 0001209191-22-019405 · doc4a.xml · derivative · entry 13 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,564 Underlying: Common Stock · 23,564 shares Expires 2032-03-14 F14 · derivative.exercise_date: Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years from the date of grant. Read SEC document |
| March 14, 2022 Filed Mar 17, 2022 09:02 UTC Amendment | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 8,977 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-019405 · doc4a.xml · nonDerivative · entry 4 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,977 F3 · balance_after: Award of restricted stock granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant Read SEC document |
| March 14, 2022 Filed Apr 18, 2023 08:19 UTC Amendment | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 26,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-024581 · doc4a.xml · nonDerivative · entry 1 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,504 F1 · shares: Stock award granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 18:06 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 5,175 | $0.00 Strike: $6.72 | $0.00 |
DisclosureSEC source: 0001209191-21-019898 · doc4.xml · derivative · entry 11 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,175 Underlying: Common Stock · 5,175 shares Expires 2031-03-10 F12 · derivative.exercise_date: Options to purchase common stock were granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years from the date of grant. Read SEC document |
| March 10, 2021 Filed Mar 11, 2021 18:06 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 5,914 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-019898 · doc4.xml · nonDerivative · entry 3 FRANK DAVID A · CIK 0001191624 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,914 F2 · balance_after: Award of restricted stock granted on 3/10/2021 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with an additional 1/3 vesting 1 year after the grant, and the final 1/3 vesting 2 years after the date of grant Read SEC document |
| August 11, 2020 Filed Aug 11, 2020 17:25 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | PurchaseCommon Stock | 8,000 | $2.50 | $20,000.00 |
DisclosureSEC source: 0001603978-20-000105 · wf-form4_159718110402997.xml · nonDerivative · entry 1 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,000 Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:24 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 12,827 | $0.00 Strike: $1.88 | $0.00 |
DisclosureSEC source: 0001603978-20-000069 · wf-form4_158439387958206.xml · derivative · entry 9 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,827 Underlying: Common Stock · 12,827 shares Expires 2030-03-12 F10 · derivative.exercise_date: Options to purchase common stock were granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest three years after the date of grant. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 17:24 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantCommon Stock | 14,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001603978-20-000069 · wf-form4_158439387958206.xml · nonDerivative · entry 2 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,660 F1 · balance_after: Award of restricted stock granted on 3/12/2020 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests immediately as to 1/3 of the grant, with the remaining 2/3 fully vesting two years after the date of grant. Read SEC document |
| February 13, 2020 Filed Feb 14, 2020 16:50 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | PurchaseCommon Stock | 35,000 | $1.50 | $52,500.00 |
DisclosureSEC source: 0001603978-20-000042 · wf-form4_158171699020767.xml · nonDerivative · entry 1 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Read SEC document |
| April 30, 2019 Filed May 6, 2019 17:27 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 20,000 | $0.00 Strike: $2.22 | $0.00 |
DisclosureSEC source: 0001603978-19-000072 · wf-form4_155717804703164.xml · derivative · entry 7 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2029-04-30 F9 · derivative.exercise_date: Options to purchase common stock were granted on 4/30/2019 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year from the date of grant. Read SEC document |
| February 27, 2018 Filed Mar 1, 2018 16:16 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 15,152 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001603978-18-000014 · wf-form4_151993897966321.xml · derivative · entry 6 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,152 Underlying: Common Stock · 15,152 shares Expires 2028-02-27 F8 · derivative.exercise_date: Options to purchase common stock were granted on 2/27/2018 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. Read SEC document |
| April 21, 2017 Filed Apr 24, 2017 17:11 UTC | AQUABOUNTY TECHNOLOGIES INC AQB · Entity 8187 | GrantOptions to Purchase Common Stock · Derivative | 10,000 | $0.00 Strike: $14.20 | $0.00 |
DisclosureSEC source: 0001603978-17-000026 · wf-form4_149306826106744.xml · derivative · entry 6 FRANK DAVID A · CIK 0001191624 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-04-21 F7 · derivative.exercise_date: Options to purchase common stock were granted on 4/21/2017 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan. Subject to continued service, vesting shall occur over three years, ending February 27, 2020, with the first year's vesting prorated between April 22, 2017, and February 27, 2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.