Current Report Filing (8-k)
January 14 2021 - 3:34PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of the Securities
Exchange Act of 1934
Date of Report (Date of earliest event reported): January
8, 2021
AKERNA CORP.
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(Exact name of registrant as specified in its charter)
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Delaware
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001-39096
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83-2242651
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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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1550 Larimer Street, #246, Denver, Colorado
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80202
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including
area code: (888) 932-6537
1630 Welton St., Floor 4, Denver, Colorado
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(Former name or former address, if changed since last report)
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Check the appropriate
box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (see General Instruction A.2. below):
☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered
pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $0.0001 per share
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KERN
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NASDAQ Capital Market
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Warrants to purchase one share of Common Stock
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KERNW
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NASDAQ Capital Market
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Indicate by check
mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of
this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth
company ☒
If an emerging growth company,
indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised
financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 3.02
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Unregistered Sale of Equity Securities.
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From December 29, 2020 through January 8, 2021,
Akerna issued 974,540 shares of common stock of Akerna to the holders of Akerna’s convertible notes upon conversion of installment
amounts due under the terms of the notes. The shares were issued upon conversion of the installment amounts under the notes to
the holders of the notes pursuant to the exemption from the registration requirements of the Securities Act of 1933, as amended
(the “Securities Act”) provided by Section 3(a)(9) thereof.
On January 7, 2021, Akerna issued 101,705 shares
of common stock to a private party in settlement of a lease agreement. The shares were issued to the private party in settlement
of claims and payments due under the lease agreement pursuant to the exemption from the registration requirements of the Securities
Act provided by Section 4(a)(2) and Rule 506(b) of Regulation D thereunder, such exemption being available based on the representations
of the private party.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act
of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
Dated: January 14, 2021
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AKERNA CORP.
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By:
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/s/ Jessica Billingsley
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Name: Jessica Billingsley
Title: Chief Executive Officer
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