AQUABOUNTY TECHNOLOGIES INC
For the period ended Sep 30, 2026. Filed Nov 6, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 6, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
EXHIBIT INDEX
| Exhibit Number | Exhibit Description |
| 3.1* | Certificate of Designations of Series A Convertible Preferred Stock of AquaBounty Technologies, Inc., as corrected by the Certificate of Correction dated April 16, 2026 (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K/A, filed on April 17, 2026). |
| 3.2* | Certificate of Designations of Series B Convertible Preferred Stock(incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K, filed on June 30, 2026). |
| 10.1* | Form of Series A Convertible Preferred Stock Conversion Agreement, dated October 7, 2026, by and between the Company and each holder of Series A Preferred Stock (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K, filed on October 8, 2026). |
| 10.2* | Form of Series B Convertible Preferred Stock Conversion Agreement, dated October 7, 2026, by and between the Company and each holder of Series B Preferred Stock (incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K, filed on October 8, 2026). |
| 10.3* | Promissory Note, dated October 29, 2026, issued by AquaBounty Technologies, Inc. to Commas International LLC (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K, filed on November 2, 2026). |
| 31.1 | Certification of the Chief Executive Officer and Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 32.1+ | Certification of the Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 101.INS | Inline XBRL instance document. |
| 101.SCH | Inline XBRL taxonomy extension schema document. |
| 101.CAL | Inline XBRL taxonomy extension calculation linkbase document. |
| 101.LAB | Inline XBRL taxonomy label linkbase document. |
| 101.PRE | Inline XBRL taxonomy extension presentation linkbase document. |
| 101.DEF | Inline XBRL taxonomy extension definition linkbase document. |
| 104 | Cover Page Interactive Data File-the cover page interactive data file does not appear in the Interactive Data File because the XBRL tags are embedded within the Inline XBRL document. |
*Incorporated herein by reference as indicated.
+The certification furnished in Exhibit 32.1 is deemed to be furnished and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certification will not be deemed to be incorporated by reference into any filings under the Securities Act of 1933, as amended, or the Exchange Act, except to the extent that the Registrant specifically incorporates it by reference.
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