UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thompson Cecil Ray JR C/O AKERNA CORP. 1550 LARIMER STREET, SUITE 246 DENVER, CO 80202 |
X | Chief Operating Officer |
/s/ John Michael Fowle Jr. as attorney-in-fact for Cecil Ray Thompson JR | 01/14/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 share of restricted stock ("RS") represents a contingent right to receive one share of common stock of Akerna Corp., (the "Company"). The Company may also elect to settle the vested RS in cash or stock, in the Company's sole discretion. |
(2) | Mr. Thompson was granted 26,176 RSs subject to a restricted stock agreement. The RSs vest as follows: 6,679 on January 1, 2020; 6,679 on January 1, 2021; 6,679 on January 1, 2022; and 6,679 on January 1, 2023. |
(3) | The restricted shares were reported in Table II on the Form 3 filed with the Securities and Exchange Commission on August 20, 2020. This amendment is being filed solely to report the restricted shares held by the Reporting Person as Non-Derivative securities in Table I. |
Remarks: Exhibit 24.1 Power of Attorney |