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 (AQB) filed a Form 3, the initial statement of beneficial ownership. The filing identifies the reporting person as a 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 $1.00 per share for 30 consecutive business days, triggering a deficiency notice under Nasdaq Listing Rule 5550(a)(2). On September 15, 2025, Nasdaq informed AquaBounty that the minimum bid price requirement is now satisfied and the listing matter is closed, removing the immediate risk of delisting tied to that rule.
AquaBounty Technologies, Inc. reported that Angela Olsen has voluntarily resigned from her positions as General Counsel, Chief Compliance Officer, and Corporate Secretary. She gave notice on August 14, 2025, with her departure effective August 22, 2025.
The company states that Ms. Olsen has confirmed her decision is not due to any disagreement with AquaBounty or with its operations, policies, or practices. No additional leadership or financial changes are described in this report.
Overview: AquaBounty Technologies, Inc. (AQB) Form 10-Q for the quarter ended June 30, 2025 reports total assets $26,650,968, total liabilities $13,037,043, stockholders' equity $13,613,925 and cash $729,569 as of June 30, 2025. The company recorded a net loss of $3,373,037 for the three months ended June 30, 2025 (six months: $2,971,902); weighted average shares outstanding ~3.87M.
Material items: the company sold its Indiana Farm (July 2024) and its Canadian subsidiary including broodstock farms and Corporate IP (March 2025), recognized $1.2M of continuing-operations impairment in 2025 (prior 2024 impairments ~$101.9M), received $2.008M loan forgiveness, converted $7.386M of accounts payable into a secured Vendor Note, and recorded $8.506M total debt as of June 30, 2025. Management discloses substantial doubt about going concern due to limited liquidity. A Term Note amendment on July 22, 2025 cured prior default.