Statement of Changes in Beneficial Ownership (4)
June 17 2020 - 4:57PM
Edgar (US Regulatory)
FORM 4
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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
*
Billingsley Jessica |
2. Issuer Name and Ticker or Trading Symbol
Akerna Corp.
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KERN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman of the Board & CEO |
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(Last)
(First)
(Middle)
C/O AKERNA CORP., 1601 ARAPAHOE STREET, SUITE 900 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/16/2020 |
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(Street)
DENVER,, CO 80202
(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
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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 Shares | 6/16/2020 | | S(1) | | 10000 | D | $10.5195 (2) | 1255802 | I | Jessica Billingsley Living Trust |
| Common Shares | 6/16/2020 | | S | | 100000 | D | $10.0039 (3) | 1155802 | I | Jessica Billingsley Living Trust |
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) | This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 25, 2020. |
| (2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.25 to $11.20, inclusive. The reporting person undertakes to provide to Akerna Corp., any security holder of Akerna Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the rages set forth in this footnote (2). |
| (3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.36, inclusive. The reporting person undertakes to provide to Akerna Corp., any security holder of Akerna Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the rages set forth in this footnote (3). |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Billingsley Jessica
C/O AKERNA CORP.
1601 ARAPAHOE STREET, SUITE 900
DENVER,, CO 80202 | X | X | Chairman of the Board & CEO |
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Jessica Billingsley Living Trust
1601 ARAPHOE STREET,
SUITE 900
DENVER,, CO 80202 |
| X |
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Signatures
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| /s/ Jessica Billingsley | | 6/16/2020 |
| **Signature of Reporting Person | Date |
| /s/ Jessica Billingsley | | 6/16/2020 |
| **Signature of Reporting Person | Date |
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