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.
AquaBounty Technologies SEC filings document capital-structure, governance, and material-event disclosures for a Delaware operating company in land-based aquaculture. Recent 8-K and 8-K/A reports cover senior note financing, securities exchange agreements, private placements of Series A Convertible Preferred Stock, corrections to preferred-stock designation terms, and Nasdaq continued-listing compliance.
The filing record also includes proxy materials addressing director elections, executive compensation, equity-award fair value disclosures, and shareholder voting matters. Other material-event reports disclose board resignation notices, changes in control items, restrictive covenants, events of default, and the relationship between financing agreements and board composition.
AquaBounty Technologies entered securities purchase agreements to issue 109,223 shares of Series B Convertible Preferred Stock for aggregate cash consideration of $2,250,000 in a private placement. These preferred shares are convertible into up to 2,184,460 shares of common stock at an initial conversion price of $1.03 per share.
The Series B Preferred Stock carries an annual dividend rate of 18.0%, accruing quarterly on a Liquidation Value of $20.60 per share and generally payable in cash on a bi-annual schedule. It ranks senior to common stock in dividends and liquidation, includes a liquidation/change-of-control preference equal to Liquidation Value plus unpaid dividends, and is non-participating.
Holders receive voting rights on an as-converted basis and strong protective provisions requiring two-thirds approval for key corporate actions. After a future debt or equity financing raising more than $20,000,000, holders representing a two-thirds Supermajority Interest may require the company to redeem all outstanding Series B shares at Liquidation Value plus unpaid dividends. The preferred was issued in an unregistered offering relying on Section 4(a)(2) and/or Regulation D.
AquaBounty Technologies, Inc. held its Annual Meeting of Stockholders on June 23, 2026, where stockholders approved all five proposals on the agenda. Directors Graydon Bensler, Braeden Lichti, Rick Sterling, and Sylvia A. Wulf were each re-elected for one-year terms.
Stockholders ratified Deloitte & Touche LLP as independent auditor for the fiscal year ending December 31, 2026. They also approved an amendment to the certificate of incorporation giving the Board discretion, until July 31, 2026, to implement a reverse stock split at a ratio between 1-for-5 and 1-for-20.
On a non-binding advisory basis, stockholders approved compensation for the company’s named executive officers. An adjournment proposal was approved but ultimately not needed, as approximately 75.8% of the total voting power was present or represented by proxy.
AquaBounty Technologies Schedule 13G reports that About Investment Pte. Ltd. and Jiaming Li are the beneficial owners of 337,355 shares of Common Stock. The filing states there were 5,147,204 shares outstanding as of May 5, 2026, giving the reporting persons 6.15% ownership.
The 337,355 shares represent Common Stock issuable upon conversion of Series A Convertible Preferred Stock held by About Investment; conversions are subject to a beneficial ownership limitation (the "Blocker") that limits conversion so holders do not exceed 19.99% without stockholder approval. Mr. Li is reported as having shared voting and dispositive power by virtue of his role with About Investment.
AquaBounty Technologies, Inc. reports a Q1 2026 net loss of $1.2 million, reversing a $0.4 million profit a year earlier, as it winds down fish-rearing operations and focuses on its Ohio Farm Project assets.
The company ended March 31, 2026 with $441 thousand in cash, $10.2 million in total assets, and a stockholders’ deficit of $2.1 million. Management states there is substantial doubt about its ability to continue as a going concern without new capital, and it plans further asset sales and financings to fund operations.
In February 2026 AquaBounty raised $1.15 million gross through common stock and pre-funded warrants, and in April 2026 it exchanged $4.3 million of high-interest Senior Notes plus accrued interest into Series A Convertible Preferred Stock, which carries senior rights and can convert into up to 4.7 million common shares.
AquaBounty Technologies, Inc. is asking stockholders to approve several items at its June 23, 2026 annual meeting. Proposals include electing four directors for one-year terms and ratifying Deloitte & Touche LLP as independent auditor for the year ending December 31, 2026.
The company seeks approval to amend its charter to implement a reverse stock split of its common stock at a ratio between 1‑for‑5 and 1‑for‑20, at the Board’s discretion, primarily to help maintain Nasdaq listing by supporting the minimum $1.00 bid price requirement. Stockholders will also vote on a non‑binding advisory resolution on named executive officer compensation and a proposal to adjourn the meeting if additional proxies are needed to approve the reverse split.
AquaBounty Technologies, Inc. filed an amended current report to correct a drafting error in the terms of its Series A Convertible Preferred Stock. The corrected documents set the initial conversion price at $0.9129 per share, instead of an amount equal to the liquidation value.
The Series A Preferred Stock carries an 18.0% annual dividend on its $18.2580 liquidation value, payable in cash on a bi-annual schedule when declared. It ranks senior to common stock on dividends and liquidation, includes strong protective voting rights, and allows holder‑elected conversion at the corrected conversion price.
Holders can require redemption for cash after a qualifying financing of more than $20,000,000, at the liquidation value plus unpaid dividends, subject to legally available funds. Unpaid redemption amounts accrue interest at 18.0% per annum, and specified breaches can increase the dividend rate by 3.0 percentage points until cured.
AquaBounty Technologies is soliciting proxies for its 2026 Annual Meeting on June 23, 2026 to elect four directors, ratify Deloitte as auditor, and seek stockholder approval for a reverse stock split with a board-determined ratio between 1-for-5 and 1-for-20. The board may implement the Reverse Stock Split, if approved, at any time prior to July 31, 2026, to address recurring noncompliance with Nasdaq’s minimum $1.00 bid-price requirement.
The proxy discloses 5,147,204 shares of Common Stock and 263,753 Series A Preferred Shares outstanding as of April 7, 2026, a combined total voting power of 10,422,280. The filing notes risks of a reverse split, including possible reduced liquidity, odd-lot effects, and potential dilution because authorized shares are unchanged. The board recommends votes FOR all proposals.
AquaBounty Technologies, Inc. filed an amendment to a prior current report to clarify its status under Nasdaq rules following a recent securities offering. The company states that, as a result of the Offering described in the earlier report, it believes it now satisfies Nasdaq’s continued listing requirements.
Specifically, AquaBounty reports that it meets the Equity Standard in Nasdaq Listing Rule 5550(b)(1), which calls for stockholders’ equity of at least $2.5 million. The amendment adds this Item 8.01 disclosure and does not change any other part of the original report.
AquaBounty Technologies entered into agreements to exchange $4,000,000 of senior note principal plus $315,616.44 of accrued interest for 236,367 shares of new Series A Convertible Preferred Stock, which can convert into up to 4,727,371 common shares, in a private placement.
The company also sold 27,386 Series A preferred shares for $500,000 in cash, convertible into up to 547,705 common shares, and agreed to pay a 7.0% placement fee on the cash portion. The Series A preferred carries an 18.0% annual cash dividend on a $18.2580 liquidation value, ranks senior to common stock, has strong protective provisions, and allows holders to require redemption after a financing raising more than $20,000,000.