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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 | (2) | 09/04/2020 | A | 10,000 | (2) | 07/02/2024 | Common Shares | 10,000 | $ 0 | 10,000 | D | ||||
Restricted Stock Units | (2) | 09/01/2020 | A | 92,166 | (2) | 07/02/2024 | Common Shares | 92,166 | $ 0 | 92,166 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sozio Scott C/O AKERNA CORP. 1630 WELTON STREET, FLOOR 4 DENVER, CO 80202 |
X | Head of CD |
/s/ Scott Sozio | 09/22/2020 | |
**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) | Represents 38,527 shares of common stock issuable upon settlement of 38,527 restricted stock units ("RSUs") of Akerna Corp. (the "Company"). The RSUs were granted on August 6, 2020, vested immediately, and may be settled solely in shares of common stock, par value $0.0001 of the Company. The RSUs were granted under the Akerna Corp. 2019 Long Term Incentive Plan. |
(2) | Each restricted stock unit represents a contingent right to receive one share of KERN common stock ("RSU"). One-quarter of the RSUs shall vest annually on July 1, beginning on July 1, 2021. |