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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/09/2021 | M | 532 | (3) | (3) | Common Shares | 532 | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 02/09/2021 | M | 1,382 | (4) | (4) | Common Shares | 1,382 | $ 0 | 0 | D | ||||
Restricted Stock Units | (1) | 02/09/2021 | M | 1,854 | (5) | (5) | Common Shares | 1,854 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kane Matthew Ryan C/O AKERNA CORP. 1630 WELTON STREET, FLOOR 4 DENVER, CO 80202 |
X |
/s/ Matthew Ryan Kane | 03/04/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit ("RSU") represents a contingent right to receive one share of KERN common stock. |
(2) | Held by Jud Wiebe Fund, LLC and Seam Capital, LLC. The reporting person disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein. |
(3) | The RSUs were granted on October 7, 2019, and vested as follows: 133 on October 7, 2019; 133 on December 31, 2019; 133 on March 31, 2020; and 133 on June 30, 2020. Settlement of all vested RSUs occurred on February 9, 2021. |
(4) | The RSUs were granted on January 28, 2020, and vested as follows: 460 RSUs vested on January 28, 2020, 461 RSUs vested on March 31, 2020, and 461 RSU vested on June 30, 2020. Settlement of all vested RSUs occurred on February 9, 2021. |
(5) | The RSUs were granted on September 10, 2020, and vested on December 31, 2020. Settlement of all vested RSUs occurred on February 9, 2021. |