Statement of Changes in Beneficial Ownership (4)

Date : 12/23/2019 @ 10:07PM
Source : Edgar (US Regulatory)
Stock : Akerna Corporation (KERN)
Quote : 7.28  0.22 (3.12%) @ 11:30PM
Akerna share price Chart

Statement of Changes in Beneficial Ownership (4)

FORM 4 [X] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

MTech Sponsor LLC
2. Issuer Name and Ticker or Trading Symbol

Akerna Corp. [ KERN* ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    __X__ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

10124 FOXHURST COURT
3. Date of Earliest Transaction (MM/DD/YYYY)

12/19/2019
(Street)

ORLANDO, FL 32836
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/19/2019  D(1)  775565 D (1)805565 D (1) 
Common Stock 12/23/2019  D(1)  805565 D (1)0 D (1) 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrants $11.5 12/19/2019 (1) D   121875    7/17/2019 6/17/2024 Common Stock 121875 $11.5 121875 D (1) 
Warrants $11.5 12/23/2019 (1) D   121875    7/17/2019 6/17/2024 Common Stock 121875 $11.5 0 D (1) 

Explanation of Responses:
(1) Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
MTech Sponsor LLC
10124 FOXHURST COURT
ORLANDO, FL 32836

X

SS FL LLC
10124 FOXHURST COURT
ORLANDO, FL 32836

X

Game Boy Partners LLC
660 MADISON AVE
NEW YORK, NY 10065

X

VAN DYKE STEVEN A
10124 FOXHURST COURT
ORLANDO, FL 32836

X

Effron Drew
660 MADISON AVE
NEW YORK, NY 10065

X


Signatures
/s/ Steven Van Dyke, as managing member of SS FL LLC, a managing member of MTech Sponsor LLC12/23/2019
**Signature of Reporting PersonDate

/s/ Drew Effron, as managing member of Game Boy Partners, LLC, a managing member of MTech Sponsor LLC12/23/2019
**Signature of Reporting PersonDate

/s/ Drew Effron, an authorized signatory of MTech Sponsor LLC12/23/2019
**Signature of Reporting PersonDate

/s/ Drew Effron12/23/2019
**Signature of Reporting PersonDate

/s/ Steven Van Dyke12/23/2019
**Signature of Reporting PersonDate

Akerna (NASDAQ:KERN)
Historical Stock Chart

1 Year : From Feb 2019 to Feb 2020

Click Here for more Akerna Charts.

Akerna (NASDAQ:KERN)
Intraday Stock Chart

Today : Friday 21 February 2020

Click Here for more Akerna Charts.

Latest KERN Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts
Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.

NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.

By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions

P: V:us D:20200222 01:31:29