<SEC-DOCUMENT>0001567619-18-004696.txt : 20181029
<SEC-HEADER>0001567619-18-004696.hdr.sgml : 20181029
<ACCEPTANCE-DATETIME>20181029162123
ACCESSION NUMBER:		0001567619-18-004696
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20181025
FILED AS OF DATE:		20181029
DATE AS OF CHANGE:		20181029

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			KIRK RANDAL J
		CENTRAL INDEX KEY:			0001091823

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36426
		FILM NUMBER:		181144465

	MAIL ADDRESS:	
		STREET 1:		1881 GROVE AVENUE
		CITY:			RADFORD
		STATE:			VA
		ZIP:			24141

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			INTREXON CORP
		CENTRAL INDEX KEY:			0001356090
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731]
		STATE OF INCORPORATION:			VA
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36426
		FILM NUMBER:		181144466

	BUSINESS ADDRESS:	
		STREET 1:		1750 KRAFT DRIVE
		STREET 2:		SUITE 1400
		CITY:			BLACKSBURG
		STATE:			VA
		ZIP:			24060
		BUSINESS PHONE:		301-556-9809

	MAIL ADDRESS:	
		STREET 1:		1750 KRAFT DRIVE
		STREET 2:		SUITE 1400
		CITY:			BLACKSBURG
		STATE:			VA
		ZIP:			24060

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			AquaBounty Technologies, Inc.
		CENTRAL INDEX KEY:			0001603978
		STANDARD INDUSTRIAL CLASSIFICATION:	FISHING, HUNTING & TRAPPING [0900]
		IRS NUMBER:				043156167
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		TWO CLOCK TOWER PLACE
		STREET 2:		SUITE 395
		CITY:			MAYNARD
		STATE:			MA
		ZIP:			01754
		BUSINESS PHONE:		978-648-6000

	MAIL ADDRESS:	
		STREET 1:		TWO CLOCK TOWER PLACE
		STREET 2:		SUITE 395
		CITY:			MAYNARD
		STATE:			MA
		ZIP:			01754
</SEC-HEADER>
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            <rptOwnerStreet1>C/O LEGAL DEPARTMENT</rptOwnerStreet1>
            <rptOwnerStreet2>20374 SENECA MEADOWS PARKWAY</rptOwnerStreet2>
            <rptOwnerCity>GERMANTOWN</rptOwnerCity>
            <rptOwnerState>MD</rptOwnerState>
            <rptOwnerZipCode>20876</rptOwnerZipCode>
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                    <value>by Lotus</value>
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                    <value>I</value>
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        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
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                <sharesOwnedFollowingTransaction>
                    <value>2095</value>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
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                <natureOfOwnership>
                    <value>by MGK 2008</value>
                    <footnoteId id="F3"/>
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        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
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            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>1708</value>
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                <directOrIndirectOwnership>
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            <securityTitle>
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            <securityTitle>
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            <securityTitle>
                <value>Common Stock</value>
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                <directOrIndirectOwnership>
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            <securityTitle>
                <value>Common Stock</value>
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                <sharesOwnedFollowingTransaction>
                    <value>10153</value>
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                <directOrIndirectOwnership>
                    <value>I</value>
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                    <footnoteId id="F4"/>
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        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
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            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>199682</value>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
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                <natureOfOwnership>
                    <value>by NRM VI Holdings</value>
                    <footnoteId id="F4"/>
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        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
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            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>3637</value>
                </sharesOwnedFollowingTransaction>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>by NRM VII Holdings</value>
                    <footnoteId id="F4"/>
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        </nonDerivativeHolding>
        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
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                <sharesOwnedFollowingTransaction>
                    <value>124609</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
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                <natureOfOwnership>
                    <value>by TSCP V</value>
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        </nonDerivativeHolding>
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    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Warrant to Purchase Common Stock</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>2.00</value>
                <footnoteId id="F1"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2018-10-25</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>X</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>1538461</value>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F1"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <value>2018-01-17</value>
            </exerciseDate>
            <expirationDate>
                <value>2023-01-17</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>1538461</value>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>0</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>by Intrexon</value>
                    <footnoteId id="F2"/>
                </natureOfOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">On October 24, 2018, Intrexon Corporation (&quot;Intrexon&quot;) entered into a Warrant Exercise Agreement with the issuer, pursuant to which, on October 25, 2018, Intrexon exercised its warrant to purchase 1,538,461 shares of common stock, for a purchase price of $3,076,922 or $2.00 per share, which exercise price was reduced in accordance with the terms of the warrant.</footnote>
        <footnote id="F2">Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly 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.</footnote>
        <footnote id="F3">Randal J. Kirk controls each of the R.J. Kirk Declaration of Trust &quot;(R.J. Kirk DOT&quot;), Third Security, LLC, (&quot;Third Security&quot;), Third Security Staff 2001 LLC (&quot;Staff 2001&quot;), Lotus Capital (2000) Company Inc. (&quot;Lotus&quot;), JPK 2008, LLC (&quot;JPK 2008&quot;), MGK 2008, LLC (&quot;MGK 2008&quot;), ZSK 2008, LLC (&quot;ZSK 2008&quot;), JPK 2009, LLC (&quot;JPK 2009&quot;), MGK 2009, LLC (&quot;MGK 2009&quot;), ZSK 2009, LLC (&quot;ZSK 2009&quot;), JPK 2012, LLC (&quot;JPK 2012&quot;), Kellie L. Banks (2009) Long Term Trust (&quot;Kellie L. Banks LTT&quot;), Third Security Senior Staff 2006 LLC (&quot;Senior Staff 2006&quot;), Third Security Staff 2006 LLC (&quot;Staff 2006&quot;) and Third Security Incentive 2006 LLC (&quot;Incentive 2006&quot;). 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.</footnote>
        <footnote id="F4">Randal J. Kirk controls each of Kapital Joe, LLC (&quot;Kapital Joe&quot;), Mascara Kaboom, LLC (&quot;Mascara Kaboom&quot;), Third Security Senior Staff LLC (&quot;Sr. Staff&quot;), ADC 2010, LLC (&quot;ADC2010&quot;), MGK 2011, LLC (&quot;MGK 2011&quot;), Third Security Senior Staff 2008 LLC (&quot;Senior Staff 2008&quot;), Third Security Staff 2010 LLC (&quot;Staff 2010&quot;), Third Security Incentive 2010 LLC (&quot;Incentive 2010&quot;), NRM VI Holdings I, LLC (&quot;NRM VI Holdings&quot;), NRM VII Holdings I, LLC (&quot;NRM VII Holdings&quot;) and Third Security Capital Partners V, LLC (&quot;TSCP V&quot;). 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.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/  Randal J. Kirk</signatureName>
        <signatureDate>2018-10-29</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/  Randal J. Kirk, CEO of Intrexon Corporation</signatureName>
        <signatureDate>2018-10-29</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
