The shelf is now effective, so selling stockholders can begin resales immediately. Monitor for any Form 4 filings or prospectus supplements indicating actual sales, which would further pressure the stock. The automatic conversion date of October 30, 2026 is the next key catalyst.
Price Chart
Executive Summary
The SEC declared effective AquaBounty Technologies' S-3 shelf registration (File No. 333-299428), filed October 13, 2026. This allows selling stockholders to resell up to 8,077,043 shares of common stock upon conversion of all outstanding Series A and Series B Convertible Preferred Stock, which will increase shares outstanding from ~5.2M to ~13.3M (155% dilution). The company receives no proceeds and faces substantial doubt about going concern, a $1M JobsOhio repayment demand, and Nasdaq delisting risk.
Key Facts
- Effectiveness date: October 23, 2026 for S-3 registration (File No. 333-299428).
- Registration covers resale of 8,077,043 shares by selling stockholders upon conversion of all Series A and B Convertible Preferred Stock.
- Post-conversion shares outstanding will increase from ~5.2M to ~13.3M (155% dilution).
- Company will not receive any proceeds from the resale.
- Filing explicitly discloses substantial doubt about going concern, a $1M JobsOhio grant repayment demand, and Nasdaq delisting risk.
- Market cap is ~$5M, making the potential dilution extremely large relative to current equity value.
Financial Impact
155% dilution in shares outstanding (from ~5.2M to ~13.3M). No proceeds to the company. Market cap ~$5M.
Risk Factors
- Massive dilution from preferred stock conversion will increase share count by 155%.
- Company has substantial doubt about going concern and faces a $1M JobsOhio repayment demand.
- Nasdaq delisting risk remains active.
- Selling stockholders may begin resales at any time, creating ongoing overhang.
Market Snapshot
Documents Analyzed
This report is based on 3 SEC documents filed with EDGAR.
| Document | Accession Number |
|---|---|
| EFFECT Filing (Primary) | 9999999995-26-003337 |
| Document: 9999999995-26-003337-index.html | 9999999995-26-003337 |
| Document: 9999999995-26-003337.txt | 9999999995-26-003337 |
Filters
| Type | Now | ||||
|---|---|---|---|---|---|
Oct 26, 2026 1d ago | EFFECT | $1.15 $1.08 | ▲ +6.09% | ▲ +6.65% | $1.08 (+6.09%) |
Oct 23, 2026 4d ago | 8-K | $1.15 $1.08 | ▼ −6.09% | ▼ −6.65% | $1.08 (−6.09%) |
Oct 13, 2026 14d ago | S-3 | $1.04 $1.10 | ▼ −5.77% | ▼ −5.48% | $1.08 (−3.85%) |
Oct 8, 2026 19d ago | 8-K | $0.9742 $1.05 | ▼ −7.78% | ▼ −7.18% | $1.08 (−10.86%) |
Jul 8, 2026 15w ago | 8-K | $0.9400 $0.9157 | ▼ −2.59% | ▼ −3.43% | $1.08 (+14.89%) |
Jun 30, 2026 17w ago | 8-K | $1.07 $1.03 | ▲ +3.74% | ▲ +3.61% | $1.08 (−0.93%) |
Apr 8, 2026 28w ago | 8-K | $0.9300 $0.9280 | ▼ −0.22% | ▼ −0.79% | $1.08 (+16.13%) |
US Market Status
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