Amended Statement of Beneficial Ownership (3/a)
January 14 2022 - 03:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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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
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Thompson Cecil Ray JR |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/26/2019
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3. Issuer Name and Ticker or Trading Symbol
Akerna Corp. [KERN]
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(Last)
(First)
(Middle)
C/O AKERNA CORP., 1550 LARIMER STREET, SUITE 246 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Operating Officer / |
(Street)
DENVER, CO 80202
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 8/20/2020
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 26716 (1)(2)(3) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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 |
Explanation of Responses: |
(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 |
Reporting Owners
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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 |
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Signatures
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/s/ John Michael Fowle Jr. as attorney-in-fact for Cecil Ray Thompson JR | | 1/14/2022 |
**Signature of Reporting Person | Date |
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