Welcome to our dedicated page for Aquabounty Technologies SEC filings (Ticker: AQB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The AquaBounty Technologies, Inc. (AQB) SEC filings page on Stock Titan provides direct access to the company’s regulatory disclosures, which are central to understanding its land-based aquaculture and biotechnology-focused business, financial condition, and recent restructuring. As a Delaware corporation listed on the Nasdaq Capital Market, AquaBounty files periodic and current reports with the U.S. Securities and Exchange Commission under Commission File Number 001-36426.
Through its filings, including Forms 10-K, 10-Q, and 8-K, AquaBounty details the financial effects of selling its Indiana grow-out farm, winding down Canadian farm operations, and treating those farms as discontinued operations. The filings also describe significant long-lived asset impairments tied to its Indiana farm, Canadian farms, Ohio equipment assets, Ohio farm construction site, and corporate intellectual property, along with the company’s efforts to generate liquidity through asset sales.
Current reports on Form 8-K highlight material events such as the announcement to cease fish farming operations at the Bay Fortune hatchery, financing transactions including a bridge loan secured by farm assets, and the later issuance of unsecured, nonconvertible senior notes in a private placement. These filings explain key terms of the senior notes, related restrictive covenants, and events of default, as well as board resignations and appointments that may lead to a change in control. Other 8-K filings document Nasdaq listing matters, including a notification of non-compliance with the minimum bid price requirement and a subsequent notice that compliance had been regained.
On Stock Titan, AquaBounty’s SEC filings are paired with AI-powered summaries that help interpret complex disclosures. Users can quickly see the main points of lengthy annual reports (Form 10-K) and quarterly reports (Form 10-Q), understand the significance of current reports (Form 8-K), and track governance and control changes. The page also surfaces information relevant to direct financial obligations and listing status, allowing investors to follow how AquaBounty’s regulatory record reflects its evolving aquaculture operations, financing strategy, and corporate structure.
AquaBounty Technologies, Inc. entered into a securities purchase agreement for a registered direct offering of its equity. The company agreed to sell 1,269,509 shares of common stock and pre-funded warrants to purchase 67,706 additional shares, at $0.86 per share and $0.859 per pre-funded warrant.
The transaction is being made under an effective Form S-3 shelf registration and is expected to close on February 13, 2026, generating approximately $1,150,000 in gross proceeds. AquaBounty plans to use the net proceeds for working capital and general corporate purposes.
Univest Securities, LLC is acting as exclusive placement agent on a reasonable best efforts basis. AquaBounty will pay a 7.0% cash fee on gross proceeds and reimburse certain placement agent expenses up to $30,000. The pre-funded warrants are exercisable immediately at $0.001 per share and do not expire.
AquaBounty Technologies, Inc. is conducting a primary offering of 1,269,509 shares of common stock and 67,706 pre-funded warrants, plus 67,706 underlying common shares, at $0.86 per share and $0.859 per warrant in a best-efforts registered direct deal.
Common shares outstanding were 3,877,695 as of February 11, 2026 and are expected to rise to 5,147,204 after the offering, before warrant exercises. The company estimates net proceeds of about $1.0 million, which it plans to use for working capital and general corporate purposes. Pre-funded warrants are immediately exercisable at $0.001 per share but are subject to a 4.99% or 9.99% ownership cap. Univest Securities acts as exclusive placement agent, earning a 7% cash fee and up to $30,000 in expense reimbursement, with no minimum amount required to close.
AquaBounty Technologies, Inc. filed an amended current report to clarify the status of previously disclosed board resignations. On October 28, 2025, director Sylvia Wulf submitted a conditional resignation that would only become effective upon certain transaction-related events or by January 31, 2026, if a directors and officers insurance tail policy was in place or approved.
The company states that these conditions were not satisfied, so Ms. Wulf’s resignation notice expired on January 31, 2026 and she remains on the Board of Directors. By contrast, Rick Sterling’s resignation notice, delivered the same day, remains in effect subject to its own conditions. The company notes that both resignation notices were not due to any disagreement regarding its operations, policies, or practices, and all other disclosures from the initial report remain unchanged.
AquaBounty Technologies director Bensler Graydon filed an initial Form 3 ownership report. The filing shows that, as of the October 28, 2025 event date, he beneficially owns 0 shares of AquaBounty common stock, held directly. This is a disclosure of his starting ownership position as a director and does not reflect any purchase or sale of shares.
AquaBounty Technologies, Inc. has filed Pre-Effective Amendment No. 1 to its shelf registration statement to update it and include hyperlinks to previously filed documents incorporated by reference. Under this shelf, AquaBounty may offer and sell from time to time up to $350,000,000 of debt securities, common stock, preferred stock, depositary shares, warrants, purchase contracts and units. The company’s use of any net proceeds will be for general corporate purposes, which may include debt repayment, capital expenditures and working capital. As context, the aggregate market value of common stock held by non‑affiliates is approximately $3,421,412, based on 3,877,695 shares outstanding as of January 6, 2026, and offerings are subject to the Baby Shelf Limitation tied to this public float.
AquaBounty Technologies (AQB)Director and records 0 shares of common stock beneficially owned in direct form. The date of event is 10/28/2025. Table II shows no listed derivative securities.
AquaBounty Technologies entered into Note Purchase Agreements for unsecured, nonconvertible Senior Notes, raising $4,000,000 at 18% interest with a scheduled maturity of 18 months. Principal and interest are due at maturity, with restrictive covenants and events of default that include non‑payment, covenant breaches, insolvency, unauthorized board changes, Nasdaq compliance failures, delayed SEC filings, and certain financial restatements. Proceeds will be used for general corporate purposes, working capital, operational funding, and repayment of certain debts.
The financing triggered board changes: Christine T. St.Clare and Gail Sharps Myers resigned, and Graydon Bensler and Braeden Lichti were appointed as independent directors. Additional conditional resignations by Sylvia Wulf and Rick Sterling could, upon specified triggers, allow the Investors to designate a Board majority, constituting a potential change in control. The company engaged Univest Securities as placement agent for a 7.0% fee on gross proceeds and up to $125,000 in expenses.
AquaBounty Technologies (AQB) filed its Q3 2025 10‑Q, reporting a smaller net loss as it winds down operations and focuses on its Ohio Farm Site. Net loss was $1.38 million for the quarter, including a $69 thousand non‑cash impairment. Loss from continuing operations was $1.48 million, partially offset by $0.10 million income from discontinued operations.
Cash and cash equivalents were $951 thousand as of September 30, 2025, against $7.91 million of current debt and $11.93 million in total current liabilities. Stockholders’ equity was $12.24 million. Year‑to‑date, the company recorded $1.29 million in non‑cash impairment, recognized $2.01 million in loan forgiveness, and generated $7.11 million of proceeds from asset sales.
The company states there is substantial doubt about its ability to continue as a going concern without additional capital. It sold its Indiana Farm (July 2024) and Canadian subsidiary (March 2025) and continues to market remaining Ohio equipment. AQB settled a vendor dispute for $550 thousand and notes an ongoing claim related to the Ohio project. AQB regained Nasdaq minimum bid compliance on September 15, 2025. Common shares outstanding were 3,877,695 as of October 28, 2025.
AquaBounty Technologies (AQB) reported that it furnished a press release covering financial results and corporate updates for the quarter ended September 30, 2025. The press release is attached as Exhibit 99.1.
The information was furnished under Item 2.02 of Form 8-K and is not deemed “filed” under Section 18 of the Exchange Act, nor incorporated by reference except as expressly set forth.
AquaBounty Technologies, Inc. reports that it has regained compliance with Nasdaq’s minimum bid price requirement for listing on the Nasdaq Capital Market. The company had previously been notified on January 15, 2025 that its common stock closed below
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