Sec Form 4 Filing - KIRK RANDAL J @ AquaBounty Technologies, Inc. - 2020-02-13

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 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person KIRK RANDAL J 2. Issuer Name and Ticker or Trading Symbol AquaBounty Technologies, Inc. [ AQB] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) _____ Director X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) (Last) (First) (Middle) C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE 3. Date of Earliest Transaction (MM/DD/YY) 02/13/2020 (Street) RADFORD, VA24141 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) __ X __ Form filed by One Reporting Person _____ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 02/13/2020 P 5,175,000 A $ 1.5 5,175,000 I by TS Biotechnology ( 1 ) Common Stock 8,239,199 I by TS AquaCulture ( 1 ) Common Stock 200,519 I by R.J. Kirk DOT ( 1 ) Common Stock 5,775 I by Third Security ( 1 ) Common Stock 4,659 I by Staff 2001 ( 1 ) Common Stock 20 I by Lotus ( 1 ) Common Stock 2,080 I by JPK 2008 ( 1 ) Common Stock 2,095 I by MGK 2008 ( 1 ) Common Stock 1,708 I by ZSK 2008 ( 1 ) Common Stock 10,784 I by JPK 2009 ( 1 ) Common Stock 12,726 I by MGK 2009 ( 1 ) Common Stock 1,132 I by ZSK 2009 ( 1 ) Common Stock 12,617 I by JPK 2012 ( 1 ) Common Stock 2,021 I by Kellie L. Banks LTT ( 1 ) Common Stock 1,770 I by Senior Staff 2006 ( 1 ) Common Stock 885 I by Staff 2006 ( 1 ) Common Stock 295 I by Incentive 2006 ( 2 ) Common Stock 99,537 I by Kapital Joe ( 2 ) Common Stock 82,083 I by Mascara Kaboom ( 2 ) Common Stock 880 I by Sr. Staff ( 2 ) Common Stock 3,199 I by ADC 2010 ( 2 ) Common Stock 14,076 I by MGK 2011 ( 2 ) Common Stock 20,306 I by Senior Staff 2008 ( 2 ) Common Stock 20,306 I by Staff 2010 ( 2 ) Common Stock 10,153 I by Incentive 2010 ( 2 ) Common Stock 199,682 I by NRM VI Holdings ( 2 ) Common Stock 3,637 I by NRM VII Holdings ( 2 ) Common Stock 124,609 I by TSCP V ( 2 )

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) 6. Date Exercisable and Expiration Date (MM/DD/YY) 7. Title and Amount of Underlying Securities (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

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other KIRK RANDAL J C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD, VA24141 X Signatures /s/ Randal J. Kirk 02/18/2020 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Randal J. Kirk controls each of TS Biotechnology Holdings, LLC ("TS Biotechnology"), TS AquaCulture LLC ("TS AquaCulture"), R.J. Kirk Declaration of Trust ("R.J. Kirk DOT"), Third Security, LLC, ("Third Security"), Third Security Staff 2001 LLC ("Staff 2001"), Lotus Capital (2000) Company Inc. ("Lotus"), JPK 2008, LLC ("JPK 2008"), MGK 2008, LLC ("MGK 2008"), ZSK 2008, LLC ("ZSK 2008"), JPK 2009, LLC ("JPK 2009"), MGK 2009, LLC ("MGK 2009"), ZSK 2009, LLC ("ZSK 2009"), JPK 2012, LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Third Security Senior Staff 2006 LLC ("Senior Staff 2006"), and Third Security Staff 2006 LLC ("Staff 2006"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. ( 2 )Randal J. Kirk controls each of Third Security Incentive 2006 LLC ("Incentive 2006"), Kapital Joe, LLC ("Kapital Joe"), Mascara Kaboom, LLC ("Mascara Kaboom"), Third Security Senior Staff LLC ("Sr. Staff"), ADC 2010, LLC ("ADC 2010"), MGK 2011, LLC ("MGK 2011"), Third Security Senior Staff 2008 LLC ("Senior Staff 2008"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Incentive 2010"), NRM VI Holdings I, LLC ("NRM VI Holdings"), NRM VII Holdings I, LLC ("NRM VII Holdings") and Third Security Capital Partners V, LLC ("TSCP V"). Shares held by these entities may be deemed to be beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

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