AQB · Aquabounty Technologies Inc
Substantial doubt about the company's ability to continue as a going concern.
“Limited operating assets, dependency on capital raising activities and cumulative net losses raises substantial doubt about the Company's ability to continue as a going concern within one year after the date that the accompanying condensed consolidated financial statements are issued.”View the 10-Q filed Aug 6, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2023-06-14 | Stern Michael K |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
Common Stock
|
55,555 |
| 2023-06-14 | Stern Michael K |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Options to Purchase Common Stock
|
2,500 |
| 2023-06-14 | St.Clare Christine |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
Common Stock
|
55,555 |
| 2023-06-14 | Rojas Alejandro |
Chief Operating Officer |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
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 |
Options to Purchase Common Stock
|
68,494 |
| 2023-06-14 | FRANK DAVID A |
Chief Financial Officer |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
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 |
Options to Purchase Common Stock
|
70,269 |
| 2023-06-14 | Sterling Rick L. |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Options to Purchase Common Stock
|
2,500 |
| 2023-06-14 | Sharp Erin S |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Options to Purchase Common Stock
|
2,500 |
| 2023-06-14 | St.Clare Christine |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Options to Purchase Common Stock
|
2,500 |
| 2023-06-14 | Sterling Rick L. |
Director |
Award↑
Filing footnotes — Comon Stock (Direct)
Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
Comon Stock
|
55,555 |
| 2023-06-14 | Olsen Angela M |
General Counsel & Corp Sec |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
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 |
Options to Purchase Common Stock
|
70,550 |
| 2023-06-14 | Alvarez Ricardo J |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Options to Purchase Common Stock
|
2,500 |
| 2023-06-14 | Myers Gail Sharps |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Stock Option award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests daily over the period of May 25, 2023 through May 25, 2024. |
Options to Purchase Common Stock
|
2,500 |
| 2023-06-14 | Myers Gail Sharps |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
Common Stock
|
55,555 |
| 2023-06-14 | Wulf Sylvia |
Director, CEO & Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
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 |
Options to Purchase Common Stock
|
116,666 |
| 2023-06-14 | Alvarez Ricardo J |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
Common Stock
|
55,555 |
| 2023-06-14 | Sharp Erin S |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
Restricted Share Unit award granted on 06/14/2023, pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan that vests in two tranches with 1/2 vesting on May 25, 2024 and 1/2 vesting on May 25, 2025. |
Common Stock
|
55,555 |
| 2023-03-09 | Rojas Alejandro |
Chief Operating Officer |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
43,130 |
| 2023-03-09 | Olsen Angela M |
General Counsel & Corp Sec |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
44,423 |
| 2023-03-09 | Wulf Sylvia |
Director, CEO & Director |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
73,462 |
| 2023-03-09 | FRANK DAVID A |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
44,247 |
| 2022-12-23 | Myers Gail Sharps |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
In prior filings, the reporting person inadvertently presented her holdings on separate lines, which was not required. This presentation corrects the error. |
Common Stock
|
10,000 |
| 2022-12-22 | Myers Gail Sharps |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
In prior filings, the reporting person inadvertently presented her holdings on separate lines, which was not required. This presentation corrects the error. |
Common Stock
|
1 |
| 2022-12-20 | St.Clare Christine |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 10,000 shares at $.7783 12/20/2022 |
Common Stock
|
10,000 |
| 2022-12-19 | Sharp Erin S |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 130,000 shares at $.77 12/19/2022 |
Common Stock
|
130,000 |
| 2022-12-19 | Sharp Erin S |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 1,500 shares at $.73 12/19/2022 |
Common Stock
|
1,500 |
| 2022-12-16 | Alvarez Ricardo J |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 2,084 shares at $.74 12/16/2022 |
Common Stock
|
2,084 |
| 2022-12-16 | Stern Michael K |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase 20,000 shares at $.74 12/16/2022 |
Common Stock
|
20,000 |
| 2022-12-15 | Alvarez Ricardo J |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 3,871 shares at $.72 12/15/2022 |
Common Stock
|
3,871 |
| 2022-12-15 | Wulf Sylvia |
Director, CEO & Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 8,903 shares at $.6862 12/15/2022 |
Common Stock
|
8,903 |
| 2022-12-14 | Alvarez Ricardo J |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 4,045 shares at $.66 12/14/2022 |
Common Stock
|
4,045 |
| 2022-12-14 | Wulf Sylvia |
Director, CEO & Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 1,097 shares at $.6482 12/14/2022 |
Common Stock
|
1,097 |
| 2022-12-13 | FRANK DAVID A |
Chief Financial Officer |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase 10,000 shares at $.65 12/13/2022 |
Common Stock
|
10,000 |
| 2022-12-12 | Myers Gail Sharps |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 200 shares at $.63 12/12/2022 |
Common Stock
|
200 |
| 2022-12-05 | Myers Gail Sharps |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
Purchase of 225 shares at $.70 12/05/2022 |
Common Stock
|
225 |
| 2022-11-10 | Sharp Erin S |
Director |
Award↑
Filing footnotes — Options to Purchase (Direct)
Options to purchase common stock were granted on 11/10/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest 05/27/2023 |
Options to Purchase
|
2,500 |
| 2022-11-10 | Stern Michael K |
Director |
Award↑
Filing footnotes — Options to Purchase (Direct)
Options to purchase common stock were granted on 11/10/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest 05/27/2023 |
Options to Purchase
|
2,500 |
| 2022-06-13 | Stern Michael K |
Director |
Buy↑
|
Common Stock
|
15,000 |
| 2022-03-14 | TURK JAMES C JR |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. |
Options to Purchase Common Stock
|
2,500 |
| 2022-03-14 | St.Clare Christine |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. |
Options to Purchase Common Stock
|
2,500 |
| 2022-03-14 | Myers Gail Sharps |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. |
Options to Purchase Common Stock
|
2,500 |
| 2022-03-14 | Alvarez Ricardo J |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant |
Options to Purchase Common Stock
|
2,500 |
| 2022-03-14 | Wulf Sylvia |
Director, CEO & Director |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
42,105 |
| 2022-03-14 | KIRK ALANA |
Director |
Award↑
Filing footnotes — Option to Purchase Common Stock (Right to Buy) (Direct)
This option vests daily over a one-year period beginning the date of grant. |
Option to Purchase Common Stock (Right to Buy)
|
2,500 |
| 2022-03-14 | FRANK DAVID A |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
26,930 |
| 2022-03-14 | Clothier Richard J |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
17,200 |
| 2022-03-14 | Rojas Alejandro |
Chief Operating Officer |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
18,750 |
| 2022-03-14 | Fisher Theodore John |
Director |
Award↑
Filing footnotes — Option to Purchase Common Stock (Right to Buy) (Direct)
This option vests daily over a one-year period beginning the date of grant. |
Option to Purchase Common Stock (Right to Buy)
|
2,500 |
| 2022-03-14 | Sterling Rick L. |
Director |
Award↑
Filing footnotes — Options to Purchase Common Stock (Direct)
Options to purchase common stock were granted on 3/14/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest one year after the date of grant. |
Options to Purchase Common Stock
|
2,500 |
| 2022-03-14 | Olsen Angela M |
General Counsel & Corp Sec |
Award↑
Filing footnotes — Common Stock (Direct)
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. |
Common Stock
|
27,038 |
| 2022-02-28 | Myers Gail Sharps |
Director |
Award↑
Filing footnotes — Options to purchase common stock were granted on 02/28/2022 (Direct)
Options to purchase common stock were granted on 02/28/2022 pursuant to the AquaBounty Technologies, Inc. 2016 Equity Incentive Plan and fully vest 03/10/2022 (using 05/28/2021 price; number prorated). |
Options to purchase common stock were granted on 02/28/2022
|
1,486 |