AQUABOUNTY TECHNOLOGIES INC

Overview

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• TickerAQB on Nasdaq¹
• IndustryFishing, Hunting and Trapping¹
• HeadquartersHarvard, Massachusetts¹
• Incorporated inDE²
• Business address233 Ayer Road Suite 4, Suite 4, Harvard, Ma 01451²
• Filer categoryNon-accelerated filer, Smaller reporting company²
• Legal formCorporation

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AquaBounty has historically pursued a growth strategy that included the construction of large-scale recirculating aquaculture system (“RAS”) farms for producing our genetically engineered Atlantic salmon (the “GE Atlantic salmon”). We had commenced construction of a 10,000 metric ton farm in Pioneer, Ohio (the “Ohio Farm Project”), but paused the construction in June 2023, as the cost estimate to complete the farm continued to substantially increase due to inflation and other factors. Further, these cost increases impaired our ability to pursue municipal bond financing, which was a necessary component of our funding strategy. We subsequently engaged an investment bank to pursue a range of funding and strategic alternatives, and to assist management in the prioritization of our core assets. These efforts resulted in the sale of our grow-out farm in Indiana (“Indiana Farm”) in July 2024, r…⁴ From its latest annual report

Corporate structure

AQUABOUNTY TECHNOLOGIES INC sits at the top of its group. 5 entities, 2 countries on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from subsidiaries listed in Exhibit 21 of annual reports filed with the SEC; major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What AQUABOUNTY TECHNOLOGIES INC reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Investments

Properties, in its own words

Our corporate headquarters is located in Harvard, Massachusetts and consists of approximately 2,000 square feet of office space under a three-year lease. In 2022, we purchased a parcel of land in Pioneer, Ohio on which we commenced construction of a 479,000 square foot production grow-out farm. However, in July 2023, we announced a pause on the construction, which is still in effect. See “Management’s Discussion and Analysis of Financial Condition and Results of Operations.”

Item 2 of the 10-K filed Mar 31, 2026.⁴

Leadership

Who has led AQUABOUNTY TECHNOLOGIES INC, and when. Pick a name to see everywhere that person has worked.

• Chief executive officerSylvia Wulf Mar 11, 2021 to Jun 16, 2023¹³
• PresidentDavid Francis Melbourne Jr. Aug 18, 2023 to Aug 18, 2023¹⁴
• Chief financial officerDavid A. Frank Mar 11, 2021 to Jun 16, 2023¹⁵
• Chief operating officerAlejandro Rojas Mar 11, 2021 to Jun 16, 2023¹⁶

Named in SEC Form D filings

People the company listed in its private-offering notices.

• DirectorBraeden Lichti named Nov 4, 2025 to Jul 1, 2026³⁷

Subsidiaries and ownership

Subsidiaries (Exhibit 21)

• Aqua Bounty Farms Chile Limitada Chile³
• AquaBounty Farms Indiana LLC Delaware³
• AquaBounty Farms Ohio LLC Delaware³
• AquaBounty Farms, Inc. Delaware³

The subsidiaries the company lists in Exhibit 21 of its annual report, as filed.

Former names

• AquaBounty Technologies, Inc.Mar 31, 2014 to Nov 7, 2023²

Timeline

1. Oct 8, 20268-K Entered a material agreement; Unregistered sale of shares³⁸
2. Aug 6, 20268-K Regulation FD disclosure³⁹
3. Jul 8, 20268-K Other events⁴⁰
4. Jun 30, 20268-K Entered a material agreement; Unregistered sale of shares; Change to shareholders' rights⁴¹
5. Jun 25, 20268-K Shareholder vote⁴²
6. Apr 17, 20268-K Change to shareholders' rights; Bylaws or fiscal year changed⁴³
7. Apr 8, 20268-K Entered a material agreement; Unregistered sale of shares; Change to shareholders' rights⁴⁴
8. Apr 8, 20268-K Other events⁴⁵
9. Mar 31, 20268-K Change in control; Executive or director change⁴⁶
10. Feb 12, 20268-K Entered a material agreement⁴⁷
11. Feb 4, 20268-K Change in control; Executive or director change⁴⁸
12. Oct 28, 20258-K Results of operations⁴⁹
13. Mar 11, 2021New chief executive Sylvia Wulf becomes CEO¹³

Calendar

Coming up

1. Oct 27, 2026Reports results for the quarter ending Sep/2026⁵⁰

When it reported results

1. Oct 28, 2025Reported quarterly or annual results⁴⁹
2. Aug 5, 2025Reported quarterly or annual results⁵¹
3. May 15, 2025Reported quarterly or annual results⁵²
4. Mar 27, 2025Reported quarterly or annual results⁵³
5. Nov 5, 2024Reported quarterly or annual results⁵⁴
6. Aug 6, 2024Reported quarterly or annual results⁵⁵
7. May 15, 2024Reported quarterly or annual results⁵⁶
8. Apr 1, 2024Reported quarterly or annual results⁵⁷

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

181 filings to the SEC since October 2021: 5 annual reports, 15 quarterly reports, 59 major events, 58 insider forms, 7 large holders, 3 private raises, 34 other. The latest 20:

1. Oct 13, 2026S-3 EDGAR
2. Oct 8, 20268-K EDGAR
3. Aug 6, 20268-K EDGAR
4. Aug 6, 202610-Q EDGAR
5. Jul 8, 20268-K EDGAR
6. Jul 1, 2026D EDGAR
7. Jun 30, 20268-K EDGAR
8. Jun 25, 20268-K EDGAR
9. May 21, 2026SCHEDULE 13G EDGAR
10. May 7, 202610-Q EDGAR
11. May 5, 2026ARS EDGAR
12. May 1, 2026DEFA14A EDGAR
13. May 1, 2026DEF 14A EDGAR
14. Apr 17, 20268-K/A EDGAR
15. Apr 15, 2026D EDGAR
16. Apr 10, 2026PRE 14A EDGAR
17. Apr 8, 20268-K/A EDGAR
18. Apr 8, 20268-K EDGAR
19. Mar 31, 20268-K/A EDGAR
20. Mar 31, 202610-K EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

16 open-market trades by officers, directors and large owners since October 2021: 14 buys and 2 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• About Investment Pte. LtdSCHEDULE 13G, 1 filing May 21, 2026⁵⁸
• Randal J. KirkSC 13D/A, 3 filings Nov 24, 2021 to Jun 30, 2023⁵⁹
• BlackRockSC 13G, 2 filings Feb 4, 2022 to Jul 8, 2022⁶⁰
• ARK Investment Management LLCSC 13G/A, 1 filing Feb 9, 2022⁶¹

Executive pay

What the company paid its top executives, from the summary compensation table in its proxy statement. Total pay includes salary, bonus, stock and option awards and other pay, as the company valued them.

Money raised

Private offerings the company reported to the SEC on Form D.

1. Jun 25, 2026Raised $2.2 million in a private offering of equity Form D: 18 investors so far Form D
2. Apr 7, 2026Raised $4.8 million in a private offering of equity Form D: 9 investors so far Form D
3. Oct 28, 2025Raised $4 million in a private offering of debt Form D: 9 investors so far Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 36. Change is in shares since the quarter before.

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How AQUABOUNTY TECHNOLOGIES INC is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARAQUABOUNTY TECHNOLOGIES INC¹
• CIK0001603978
• Employer ID (EIN)04-3156167⁴
• Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; a shell company⁴
• Incorporated inDelaware⁴
• Fiscal year endsDecember 31¹
• Industry code (SIC)0900 Fishing, Hunting and Trapping¹
• SEC reviewing officeOffice of Industrial Applications and Services, Division of Corporation Finance¹
• Business address233 Ayer Road Suite 4, Suite 4, Harvard, MA 01451¹
• Phone978-648-6000¹
• Shares outstanding5,147,204 as of Aug 4, 2026¹²
• Public float$2.8M as of Jun 30, 2025⁴
• AuditorDeloitte & Touche LLP, Baltimore, Maryland PCAOB ID 34; no auditor attestation of internal control over financial reporting⁴
• On EDGAR sinceMar 31, 2014¹
• Filings471 in all: 8-K (122), 4 (113), 10-Q (29), 3 (24), CORRESP (15), UPLOAD (15), DEF 14A (14), 4/A (13)¹
  All 36 form types

  DEFA14A (12), 424B5 (11), 10-K (10), SC 13D/A (10), 10-12B/A (8), SC 13G/A (8), PRE 14A (7), EFFECT (6), SC 13G (6), 8-K/A (5), D (5), S-1/A (5), S-3 (5), ARS (4), 424B4 (3), S-3/A (3), S-8 (3), 10-12B (2), 424B3 (2), S-1 (2), S-1MEF (2), CERTNAS (1), FWP (1), POS EX (1), RW (1), S-3MEF (1), SC 13D (1), SCHEDULE 13G (1)

• Latest filingsAnnual report (10-K) Mar 31, 2026
  Quarterly report (10-Q) Aug 6, 2026
  Proxy statement (DEF 14A) May 1, 2026
  Latest 8-K (8-K) Oct 8, 2026

Securities registered for trading

From the cover page of the 10-K filed Mar 31, 2026 (Section 12(b) of the Exchange Act).⁴

Risk factors and legal proceedings

The risks AQUABOUNTY TECHNOLOGIES INC names in Item 1A of its 10-K filed Mar 31, 2026: 17 risks under these headings, as written.⁴

• Risks Relating to our Business and Future Plans
• We have a history of net losses and expect to incur future losses, and there is substantial doubt about our ability to continue as a going concern.
• There can be no assurance that substantial additional capital will be available on a timely basis, on acceptable terms, or at all, or that such funds, if raised, would be sufficient to enable us to continue to implement our business strategy.
• We require approvals and permits for our Ohio Farm Project, and any delay or denial of those approvals or permits could potentially impact the value of those assets and limit our strategic options.
• We may pursue strategic acquisitions, dispositions, mergers or joint ventures or other strategic transactions that could have an adverse impact on our business if they are unsuccessful.
• Risks Relating to Our Business
• Security breaches, cyber-attacks and other disruptions could compromise our information, or expose us to fraud or liability, which would cause our business and reputation to suffer.
• We may be required to further write down the value of our assets at the end of a reporting period.
• Risks Relating to the Industry and Macro Environment
• Business, political, or economic disruptions or global health concerns could seriously harm our current or planned business and increase our costs and expenses.
• Adverse developments affecting the financial services industry, including events or concerns involving liquidity, defaults or non-performance by financial institutions or transactional counterparties, could adversely affect our business, financial condition or results of operations.
• Our ability to use net operating losses and other tax attributes to offset future taxable income may be subject to certain limitations.

Legal proceedings

On February 28, 2025, a complaint was filed by Gilbane Building Company (“Gilbane”) against AquaBounty Farms Ohio, LLC, (“AFO”) in the Court of Common Pleas, Williams County, Ohio. The complaint alleges that Gilbane and AFO entered into a contract pursuant to which Gilbane furnished certain materials, services, equipment, and labor for altering, constructing, and improving certain land, buildings, and structures at the Ohio Farm Project and that AFO failed to pay outstanding amounts owed under such contract. The complaint also notes that Gilbane filed a mechanic’s lien on the Ohio Farm Site on September 11, 2024, in the amount of $1.5 million. Gilbane alleges various causes of action, including breach of contract, and is seeking monetary damages and foreclosure of the mechanic’s lien. On October 31, 2025, AFO and Gilbane executed a settlement and release agreement (“Gilbane Settlement”) to resolve all matters and disputes between them. As part of the Gilbane Settlement, AFO agreed to pay Gilbane $1.3 million and Gilbane agreed to release and discharge all claims against AFO and to dismiss the legal action it filed.

On June 25, 2025, a complaint was filed by Buckeye Power Sales Co. Inc. (“Buckeye”) against AFO in the Court of Common Pleas, Franklin County, Ohio. The complaint alleged that AFO ordered a switch gear from Buckeye in 2024 and entered into a credit contract with Buckeye. Buckeye claimed that AFO owed Buckeye $930 thousand plus interest at the rate of 1.5% per month from January 22, 2025, and costs, including attorney fees. On August 27, 2025, AFO and Buckeye executed a settlement and release agreement (“Buckeye Settlement”) to resolve all matters and disputes between them. As part of the Buckeye Settlement, AFO agreed to pay Buckeye $550 thousand and Buckeye agreed to release and discharge all claims against AFO and to dismiss the legal action it filed.

The opening of Item 3, Legal Proceedings.⁴