Statement of Changes in Beneficial Ownership (4)
May 27 2020 - 1:19PM
Edgar (US Regulatory)
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
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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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1. Name and Address of Reporting Person
*
Amy A. Poinsett Revocable Living Trust |
2. Issuer Name and Ticker or Trading Symbol
Akerna Corp.
[
KERN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
601 16TH STREET, SUITE C-420 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/26/2020 |
(Street)
GOLDEN, CO 80401
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.0001 per share | 5/26/2020 | | S | | 10000 (1)(2) | D | $10.00 | 1325802 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Amy A. Poinsett is the trustee of the Amy A. Poinsett Revocable Living Trust and has voting and investment discretion with respect to the common stock held of record by the Amy A Poinsett Revocable Living Trust. Accordingly, Ms. Poinsett may be deemed to have or share beneficial ownership of such shares. |
(2) | This sale was executed pursuant to a Rule 10b5-1 trading plan that was entered into by the Reporting Person during an open trading window. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Amy A. Poinsett Revocable Living Trust 601 16TH STREET, SUITE C-420 GOLDEN, CO 80401 |
| X |
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Poinsett Amy A. 601 16TH STREET, SUITE C-420 GOLDEN, CO 80401 |
| X |
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Signatures
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/s/ Amy A. Poinsett, as authorized signatory of the Amy A. Poinsett Revocable Living Trust | | 5/27/2020 |
**Signature of Reporting Person | Date |
/s/ Amy A. Poinsett | | 5/27/2020 |
**Signature of Reporting Person | Date |
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