Sec Form 4 Filing - KIRK ALANA @ AquaBounty Technologies, Inc.

Insider filing report for Changes in Beneficial Ownership

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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 ALANA

2. Issuer Name and Ticker or Trading Symbol
AquaBounty Technologies, Inc. [ AQB]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X __ Director	X __ 10% Owner
_____ Officer (give title below)	_____ Other (specify below)

(Last)

(First)

(Middle)

C/O THIRD SECURITY, LLC, 1881 GROVE AVENUE

3. Date of Earliest Transaction (MM/DD/YY)
11/23/2021

(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)
1.Title of Security (Instr. 3)	2. Transaction Date (MM/DD/YY)	2A. Deemed Execution Date, if any (MM/DD/YY)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	11/23/2021		S		4,742,552^{( 1 )}	D	$ 2.1^{( 1 )}	1,965,386	I	by R.J. Kirk DOT^{( 2 )}
Common Stock	11/23/2021		S		278,618^{( 1 )}	D	$ 2.1^{( 1 )}	115,463	I	by JPK 2008^{( 2 )}
Common Stock	11/23/2021		S		279,121^{( 1 )}	D	$ 2.1^{( 1 )}	115,672	I	by MGK 2008^{( 2 )}
Common Stock	11/23/2021		S		280,018^{( 1 )}	D	$ 2.1^{( 1 )}	116,044	I	by ZSK 2008^{( 2 )}
Common Stock	11/23/2021		S		980,473^{( 1 )}	D	$ 2.1^{( 1 )}	331,318^{( 4 )}	I	by JPK 2009^{( 2 )}
Common Stock	11/23/2021		S		1,002,663^{( 1 )}	D	$ 2.1^{( 1 )}	340,514^{( 4 )}	I	by MGK 2009^{( 2 )}
Common Stock	11/23/2021		S		54,462^{( 1 )}	D	$ 2.1^{( 1 )}	22,570	I	by ZSK 2009^{( 2 )}
Common Stock	11/23/2021		S		2,262^{( 1 )}	D	$ 2.1^{( 1 )}	937	I	by ADC 2010^{( 2 )}
Common Stock	11/23/2021		S		249,384^{( 1 )}	D	$ 2.1^{( 1 )}	103,349	I	by MGK 2011^{( 2 )}
Common Stock	11/23/2021		S		444,702^{( 1 )}	D	$ 2.1^{( 1 )}	184,291	I	by JPK 2012^{( 2 )}
Common Stock	11/23/2021		S		53,028^{( 1 )}	D	$ 2.1^{( 1 )}	21,976	I	by Kellie L. Banks LTT^{( 2 )}
Common Stock	11/23/2021		S		4,269,495^{( 1 )}	D	$ 2.1^{( 1 )}	1,769,343	I	by Sunset 2020^{( 2 )}
Common Stock	11/23/2021		S		67,291^{( 1 )}	D	$ 2.1^{( 1 )}	27,886^{( 4 )}	I	by Kapital Joe^{( 2 )}
Common Stock	11/23/2021		S		14^{( 1 )}	D	$ 2.1^{( 1 )}	6	I	by Lotus^{( 2 )}
Common Stock	11/23/2021		S		3,294^{( 1 )}	D	$ 2.1^{( 1 )}	1,365	I	by Staff 2001^{( 2 )}
Common Stock	11/23/2021		S		1,251^{( 1 )}	D	$ 2.1^{( 1 )}	519	I	by Sr. Staff 2006^{( 2 )}
Common Stock	11/23/2021		S		626^{( 1 )}	D	$ 2.1^{( 1 )}	259	I	by Staff 2006^{( 2 )}
Common Stock	11/23/2021		S		209^{( 1 )}	D	$ 2.1^{( 1 )}	86	I	by Inc 2006^{( 2 )}
Common Stock	11/23/2021		S		52,859^{( 1 )}	D	$ 2.1^{( 1 )}	21,906	I	by Sr. Staff 2007^{( 3 )}
Common Stock	11/23/2021		S		26,430^{( 1 )}	D	$ 2.1^{( 1 )}	10,953	I	by Staff 2007^{( 3 )}
Common Stock	11/23/2021		S		8,810^{( 1 )}	D	$ 2.1^{( 1 )}	3,651	I	by Inc 2007^{( 3 )}
Common Stock	11/23/2021		S		33,347^{( 1 )}	D	$ 2.1^{( 1 )}	13,562^{( 4 )}	I	by Sr. Staff 2008^{( 3 )}
Common Stock	11/23/2021		S		14,644^{( 1 )}	D	$ 2.1^{( 1 )}	6,068	I	by Staff 2009^{( 3 )}
Common Stock	11/23/2021		S		7,323^{( 1 )}	D	$ 2.1^{( 1 )}	3,035	I	by Inc 2009^{( 3 )}
Common Stock	11/23/2021		S		18,082^{( 1 )}	D	$ 2.1^{( 1 )}	7,493^{( 4 )}	I	by Staff 2010^{( 3 )}
Common Stock	11/23/2021		S		9,042^{( 1 )}	D	$ 2.1^{( 1 )}	3,747^{( 4 )}	I	by Inc 2010^{( 3 )}
Common Stock								2,159	D
Common Stock								258^{( 4 )}	I	by Sr. Staff^{( 3 )}
Common Stock								75,004^{( 4 )}	I	by Sr. Staff 2015^{( 3 )}
Common Stock								75,004^{( 4 )}	I	by Staff 2015^{( 3 )}

**Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned**
( *e.g.* , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (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
Reporting Owner Name / Address	Director	10% Owner	Officer	Other
KIRK ALANA C/O THIRD SECURITY, LLC 1881 GROVE AVENUE RADFORD, VA24141	X	X

**Signatures**
/s/ Alana D. Kirk		11/24/2021
Signature of Reporting Person		Date

Explanation of Responses:

( 1 )On November 23, 2021, certain entities affiliated with Randal J. Kirk, the Reporting Person's spouse, that hold issuer common stock, sold an aggregate of 12,880,000 shares of common stock of the issuer, in an underwritten public secondary offering at a price to the public of $2.10 per share. 1,680,000 of such shares of common stock were sold pursuant to the option granted to the underwriters, which was exercised in full prior to the closing.
( 2 )The Reporting Person's spouse controls each of R.J. Kirk Declaration of Trust ("RJ Kirk DOT"), 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"), ADC 2010, LLC ("ADC 2010"), MGK 2011 ("MGK 2011"), JPK 2012 LLC ("JPK 2012"), Kellie L. Banks (2009) Long Term Trust ("Kellie L. Banks LTT"), Sunset 2020 LLC ("Sunset 2020"), Kapital Joe, LLC ("Kapital Joe"), Lotus Capital (2000) Company Inc. ("Lotus"), Third Security Staff 2001 LLC ("Staff 2001"), Third Security Senior Staff 2006 LLC ("Sr Staff 2006"), Third Security Staff 2006 LLC ("Staff 2006"), and Third Security Incentive 2006 LLC ("Inc 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.
( 3 )The Reporting Person's spouse controls each of Third Security Senior Staff 2007 LLC ("Sr. Staff 2007"), Third Security Staff 2007 LLC ("Staff 2007"), Third Security Incentive 2007 LLC ("Inc 2007"), Third Security Senior Staff 2008 LLC ("Sr. Staff 2008"), Third Security Staff 2009 LLC ("Staff 2009"), Third Security Incentive 2009 LLC ("Inc 2009"), Third Security Staff 2010 LLC ("Staff 2010"), Third Security Incentive 2010 LLC ("Inc 2010"), Third Security Senior Staff LLC ("Sr. Staff"), Third Security Senior Staff 2015 LLC ("Sr. Staff 2015"), andThird Security Staff 2015 LLC ("Staff 2015"). 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.
( 4 )The indicated number of shares reflects internal transfers among certain affiliated entities that own issuer common stock.

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).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Sec Form 4 Filing - KIRK ALANA @ AquaBounty Technologies, Inc. - 2021-11-23