Scott Sozio - 26 Apr 2021 Form 4 Insider Report for Akerna Corp. (KERN)

Role
Head of CD, Director
Signature
/s/ John Fowle as attorney-in-fact for Scott Sozio
Issuer symbol
KERN
Transactions as of
26 Apr 2021
Transactions value $
$-63,207
Form type
4
Filing time
14 Feb 2022, 20:01:26 UTC
Next filing
02 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KERN Common Shares Award +2,976 +1.3% 231,912 26 Apr 2021 Direct F1, F2
transaction KERN Common Shares Options Exercise +23,042 +9.94% 254,954 04 Aug 2021 Direct F2
transaction KERN Common Shares Options Exercise +2,500 +0.98% 257,454 04 Aug 2021 Direct F2
transaction KERN Common Shares Tax liability $-38,339 -11,618 -4.51% $3.30* 245,836 04 Aug 2021 Direct
transaction KERN Common Shares Options Exercise +29,210 +11.9% 275,046 21 Dec 2021 Direct F2
transaction KERN Common Shares Options Exercise +2,500 +0.91% 277,546 21 Dec 2021 Direct F2
transaction KERN Common Shares Tax liability $-24,868 -12,434 -4.48% $2.00* 265,112 21 Dec 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction KERN Restricted Stock Units Award $0 +10,000 $0.000000 10,000 26 Apr 2021 Common Shares 10,000 Direct F2, F4
transaction KERN Restricted Stock Units Options Exercise $0 -23,042 -25% $0.000000 69,124 04 Aug 2021 Common Shares 23,042 Direct F2, F3
transaction KERN Restricted Stock Units Options Exercise $0 -2,500 -25% $0.000000 7,500 04 Aug 2021 Common Shares 2,500 Direct F2, F3
transaction KERN Restricted Stock Units Award +29,210 29,210 26 Oct 2021 Common Shares 29,210 Direct F2, F5
transaction KERN Restricted Stock Units Options Exercise -29,210 -100% 0 21 Dec 2021 Common Shares 29,210 Direct F2, F5
transaction KERN Restricted Stock Uniyts Options Exercise -2,500 -25% 7,500 21 Dec 2021 Common Shares 2,500 Direct F2, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents grant of restricted stock units on April 26, 2021, with immediate vesting.
F2 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F3 The restricted stock units ("RSUs") were granted on September 1, 2020, and vest as follows: 1/4 on July 1, 2021; 1/4 on July 1, 2022; 1/4 on July 1, 2023; and 1/4 on July 1, 2024. Settlement of the RSUs will occur as soon as administratively feasible following the applicable vesting dates.
F4 The restricted stock units ("RSUs") were granted on April 26, 2021, and vest as follows: 2,500 on December 1, 2021; 2,500 on December 1, 2022; 2,500 on December 1, 2023; and 2,500 on December 1, 2024. Settlement of vested RSUs will occur as soon as administratively feasible following the applicable vesting date.
F5 Represents restricted stock unit grant with immediate vesting.