0001567619-22-021382.txt : 20221207 0001567619-22-021382.hdr.sgml : 20221207 20221207134336 ACCESSION NUMBER: 0001567619-22-021382 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221021 FILED AS OF DATE: 20221207 DATE AS OF CHANGE: 20221207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thompson Cecil Ray JR CENTRAL INDEX KEY: 0001805209 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39096 FILM NUMBER: 221449886 MAIL ADDRESS: STREET 1: 1630 WELTON ST STREET 2: SUITE 400 CITY: DENVER STATE: CO ZIP: 80201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Akerna Corp. CENTRAL INDEX KEY: 0001755953 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 832242651 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1550 LARIMER STREET, SUITE 246 CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 888-932-6537 MAIL ADDRESS: STREET 1: 1550 LARIMER STREET, SUITE 246 CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: MTech Acquisition Holdings Inc. DATE OF NAME CHANGE: 20181015 4 1 doc1.xml FORM 4 X0306 4 2022-10-21 0 0001755953 Akerna Corp. KERN 0001805209 Thompson Cecil Ray JR C/O AKERNA CORP. 1550 LARIMER STREET, SUITE 246 DENVER CO 80202 0 1 1 0 Chief Operating Officer Common Shares 2022-10-21 4 M 0 125 A 3255 D Common Shares 2022-10-21 4 M 0 250 A 3505 D Restricted Stock Units 2022-10-21 4 M 0 125 0 D Common Shares 125 125 D Restricted Stock Units 2022-10-21 4 M 0 250 0 D Common Shares 250 500 D The transactions and totals reported herein reflect the Issuer's 20:1 reverse stock split effective as of November 8, 2022. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units were granted on October 17, 2019, and vest as follows: one-fourth on January 1, 2020; one-fourth on January 1, 2021; one-fourth on January 1, 2022; and one-fourth on January 1, 2023; provided that the RSUs shall vest immediately upon a change in control. Settlement of vested RSUs will occur as soon as administratively feasible following the applicable vesting date. The restricted stock units were granted on September 4, 2020 and vest as follows: one-fourth on July 1, 2021; one-fourth on July 1, 2022; one-fourth on July 1, 2023; and one-fourth on July 1, 2024; provided that the RSUs shall vest immediately upon a change in control. Settlement of vested RSUs will occur as soon as administratively feasible following the applicable vesting date. /s/ Cecil Ray Thompson Jr. 2022-11-30