ABTC

SEC source: 0001567619-22-008277 · doc1.xml · derivative · entry 3

McCullough David R · CIK 0001818464 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Shares · 2,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of KERN common stock.

F3 · derivative.exercise_date: The RSUs were granted on October 17, 2019, and vest as follows: 2,000 on July 1, 2020; 2,000 on July 1, 2021; 2,000 on July 1, 2022; and 2,000 on July 1, 2023. Settlement of vested RSUs will occur as soon as administratively feasible following the applicable vesting date.

F3 · derivative.expiration_date: The RSUs were granted on October 17, 2019, and vest as follows: 2,000 on July 1, 2020; 2,000 on July 1, 2021; 2,000 on July 1, 2022; and 2,000 on July 1, 2023. Settlement of vested RSUs will occur as soon as administratively feasible following the applicable vesting date.

SEC source: 0001567619-20-017024 · doc1.xml · derivative · entry 3

Sozio Scott · CIK 0001403062 · Director · Head of CD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,166

Underlying: Common Shares · 92,166 shares

Expires 2024-07-02

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of KERN common stock ("RSU"). One-quarter of the RSUs shall vest annually on July 1, beginning on July 1, 2021.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of KERN common stock ("RSU"). One-quarter of the RSUs shall vest annually on July 1, beginning on July 1, 2021.

SEC source: 0001567619-21-005675 · doc1.xml · derivative · entry 3

Sozio Scott · CIK 0001403062 · Director · Head of CD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,166

Underlying: Common Shares · 92,166 shares

Expires 2024-07-02

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of KERN common stock ("RSU"). One-quarter of the RSUs shall vest annually on July 1, beginning on July 1, 2021.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of KERN common stock ("RSU"). One-quarter of the RSUs shall vest annually on July 1, beginning on July 1, 2021.

SEC source: 0001213900-20-015206 · ownership.xml · nonDerivative · entry 2

Billingsley Jessica · CIK 0001780003 · Director · Chairman of the Board & CEO · 10% owner

Jessica Billingsley Living Trust · CIK 0001780943 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Jessica Billingsley Living Trust

Disclosed balance after: 1,155,802

F3 · price: 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).

SEC source: 0001213900-20-015206 · ownership.xml · nonDerivative · entry 1

Billingsley Jessica · CIK 0001780003 · Director · Chairman of the Board & CEO · 10% owner

Jessica Billingsley Living Trust · CIK 0001780943 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Jessica Billingsley Living Trust

Disclosed balance after: 1,255,802

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 25, 2020.

F2 · price: 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).

SEC source: 0001567619-22-008049 · doc1.xml · nonDerivative · entry 2

Billingsley Jessica · CIK 0001780003 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at price ranging from $10.20 to $11.36, 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 ranges set forth in this footnote.

SEC source: 0001567619-22-008049 · doc1.xml · nonDerivative · entry 1

Billingsley Jessica · CIK 0001780003 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at price 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 ranges set forth in this footnote.

SEC source: 0001213900-20-014613 · ownership.xml · nonDerivative · entry 2

Billingsley Jessica · CIK 0001780003 · Director · Chairman of the Board & CEO · 10% owner

Jessica Billingsley Living Trust · CIK 0001780943 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Jessica Billingsley Living Trust

Disclosed balance after: 1,265,802

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 25, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.11 to $10.75, 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).

F2 · ownership.nature: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.11 to $10.75, 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).

SEC source: 0001567619-22-008047 · doc1.xml · nonDerivative · entry 4

Billingsley Jessica · CIK 0001780003 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at price ranging from $10.11 to $11.75, 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 ranges set forth in this footnote.

SEC source: 0001213900-20-014613 · ownership.xml · nonDerivative · entry 1

Billingsley Jessica · CIK 0001780003 · Director · Chairman of the Board & CEO · 10% owner

Jessica Billingsley Living Trust · CIK 0001780943 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Jessica Billingsley Living Trust

Disclosed balance after: 1,275,802

F3 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 25, 2020.

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $11.37, 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 (1).

F2 · ownership.nature: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.11 to $10.75, 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).

SEC source: 0001567619-22-008047 · doc1.xml · nonDerivative · entry 3

Billingsley Jessica · CIK 0001780003 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at price ranging from $10.00 to $11.37, 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 ranges set forth in this footnote.

SEC source: 0001567619-22-008047 · doc1.xml · nonDerivative · entry 2

Billingsley Jessica · CIK 0001780003 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,000

F1 · kind: Represents transfer of shares from Jessica Billingsley Living Trust to the reporting person.

F1 · price: Represents transfer of shares from Jessica Billingsley Living Trust to the reporting person.

SEC source: 0001567619-22-008047 · doc1.xml · nonDerivative · entry 1

Billingsley Jessica · CIK 0001780003 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Jessica Billingsley Living Trust

Disclosed balance after: 1,065,802

F1 · kind: Represents transfer of shares from Jessica Billingsley Living Trust to the reporting person.

F1 · price: Represents transfer of shares from Jessica Billingsley Living Trust to the reporting person.

F2 · ownership.nature: The reporting person is the trustee of Jessica Billingsley Living Trust and has voting and investment discretion with respect to the shares of common stock held of record by the Jessica Billingsley Living Trust, and may have or share beneficial ownership of such shares.

SEC source: 0001213900-20-013508 · ownership.xml · nonDerivative · entry 1

Amy A. Poinsett Revocable Living Trust · CIK 0001783552 · 10% owner

Poinsett Amy A. · CIK 0001783551 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,325,802

F1 · shares: Amy A. Poinsett is the trustee of the Amy A. Poinsett Revocable Living Trust and has voting and investment discretion with respect to the common stock held of record by the Amy A Poinsett Revocable Living Trust. Accordingly, Ms. Poinsett may be deemed to have or share beneficial ownership of such shares.

F2 · shares: This sale was executed pursuant to a Rule 10b5-1 trading plan that was entered into by the Reporting Person during an open trading window.

SEC source: 0001213900-20-010692 · ownership.xml · nonDerivative · entry 1

Sozio Scott · CIK 0001403062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,835

F1 · kind: Represents 1,230 shares of common stock issuable upon settlement of 1,230 restricted stock units ("RSU") of Akerna Corp. (the "Company"). The RSUs were granted on April 28, 2020, vested immediately and may be settled solely in shares of common stock, par value $0.0001 of the Company. The RSUs were granted under the Akerna Corp. 2019 Long Term Incentive Plan.

F1 · price: Represents 1,230 shares of common stock issuable upon settlement of 1,230 restricted stock units ("RSU") of Akerna Corp. (the "Company"). The RSUs were granted on April 28, 2020, vested immediately and may be settled solely in shares of common stock, par value $0.0001 of the Company. The RSUs were granted under the Akerna Corp. 2019 Long Term Incentive Plan.

SEC source: 0001213900-20-008958 · ownership.xml · derivative · entry 2

Rehmatullah Tahira · CIK 0001728551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,127

Underlying: Common Shares · 5,127 shares

Expires 2024-06-07

F1 · kind: Distribution of Akerna Corp. securities to members of SS FL LLC.

F1 · price: Distribution of Akerna Corp. securities to members of SS FL LLC.

SEC source: 0001213900-20-008958 · ownership.xml · nonDerivative · entry 1

Rehmatullah Tahira · CIK 0001728551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,124

F1 · kind: Distribution of Akerna Corp. securities to members of SS FL LLC.

SEC source: 0001213900-20-008963 · ownership.xml · derivative · entry 2

Sozio Scott · CIK 0001403062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,310

Underlying: Common Shares · 32,310 shares

Expires 2024-06-17

F1 · kind: Distribution of Akerna Corp. securities to members of SS FL LLC

SEC source: 0001213900-20-008963 · ownership.xml · nonDerivative · entry 1

Sozio Scott · CIK 0001403062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,605

F1 · kind: Distribution of Akerna Corp. securities to members of SS FL LLC

SEC source: 0001213900-20-004688 · ownership.xml · derivative · entry 1

Billingsley Jessica · CIK 0001780003 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's its sole discretion.

F2 · price: Ms. Billingsley was granted 10,000 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 2,500 of the RSUs vest July 1, 2020; 2,500 vest on July 1, 2021; 2,500 vest on July 1, 2022 and 2,500 vest on July 1, 2023; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Billingsley's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Ms. Billingsley was granted 10,000 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 2,500 of the RSUs vest July 1, 2020; 2,500 vest on July 1, 2021; 2,500 vest on July 1, 2022 and 2,500 vest on July 1, 2023; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Billingsley's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Ms. Billingsley was granted 10,000 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 2,500 of the RSUs vest July 1, 2020; 2,500 vest on July 1, 2021; 2,500 vest on July 1, 2022 and 2,500 vest on July 1, 2023; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Billingsley's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-20-023029 · ownership.xml · derivative · entry 3

Thompson Cecil Ray JR · CIK 0001805209 · Chief Operations Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,432

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's sole discretion.

F4 · price: Mr. Thompson was granted 10,000 RSUs under the Plan. The RSUs will vest as follows: 2,500 on July 1, 2020; 2,500 on July 1, 2021; 2,500 on July 1, 2022, and 2,500 on July 1, 2023

F4 · derivative.exercise_date: Mr. Thompson was granted 10,000 RSUs under the Plan. The RSUs will vest as follows: 2,500 on July 1, 2020; 2,500 on July 1, 2021; 2,500 on July 1, 2022, and 2,500 on July 1, 2023

F4 · derivative.expiration_date: Mr. Thompson was granted 10,000 RSUs under the Plan. The RSUs will vest as follows: 2,500 on July 1, 2020; 2,500 on July 1, 2021; 2,500 on July 1, 2022, and 2,500 on July 1, 2023

SEC source: 0001213900-20-023029 · ownership.xml · derivative · entry 2

Thompson Cecil Ray JR · CIK 0001805209 · Chief Operations Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,432

Underlying: Common Stock · 26,716 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's sole discretion.

F3 · price: Mr. Thompson was granted 26,716 RSUs under the Plan. The RSUs will vest as follows: 6,679 on the date of grant; 6,679 on January 1, 2021; 6,679 on January 1, 2022; and 6,679 on January 1, 2023.

F3 · derivative.exercise_date: Mr. Thompson was granted 26,716 RSUs under the Plan. The RSUs will vest as follows: 6,679 on the date of grant; 6,679 on January 1, 2021; 6,679 on January 1, 2022; and 6,679 on January 1, 2023.

F3 · derivative.expiration_date: Mr. Thompson was granted 26,716 RSUs under the Plan. The RSUs will vest as follows: 6,679 on the date of grant; 6,679 on January 1, 2021; 6,679 on January 1, 2022; and 6,679 on January 1, 2023.

SEC source: 0001213900-20-002204 · ownership.xml · derivative · entry 1

Iwanowski Mark · CIK 0001780018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,498

Underlying: Common Stock · 1,498 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's its sole discretion.

F2 · price: Mr. Iwanowski was granted 1,498 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 499 of the RSUs vested immediately on January 28, 2020; 499 shall vest on March 31, 2020; and 500 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Iwanowski's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Mr. Iwanowski was granted 1,498 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 499 of the RSUs vested immediately on January 28, 2020; 499 shall vest on March 31, 2020; and 500 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Iwanowski's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Mr. Iwanowski was granted 1,498 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 499 of the RSUs vested immediately on January 28, 2020; 499 shall vest on March 31, 2020; and 500 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Iwanowski's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-20-002202 · ownership.xml · derivative · entry 1

Rehmatullah Tahira · CIK 0001728551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,484

Underlying: Common Stock · 1,484 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's its sole discretion.

F2 · price: Ms. Rehmatullah was granted 1,484 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 494 of the RSUs vested immediately on January 28, 2020; 495 shall vest on March 31, 2020; and 495 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Rehmatullah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Ms. Rehmatullah was granted 1,484 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 494 of the RSUs vested immediately on January 28, 2020; 495 shall vest on March 31, 2020; and 495 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Rehmatullah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Ms. Rehmatullah was granted 1,484 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 494 of the RSUs vested immediately on January 28, 2020; 495 shall vest on March 31, 2020; and 495 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Rehmatullah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-20-002217 · ownership.xml · derivative · entry 1

Kane Matthew Ryan · CIK 0001780327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,382

Underlying: Common Stock · 1,382 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's its sole discretion.

F2 · price: Mr. Kane was granted 1,382 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 460 of the RSUs vested immediately on January 28, 2020; 461 shall vest on March 31, 2020; and 461 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Mr. Kane was granted 1,382 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 460 of the RSUs vested immediately on January 28, 2020; 461 shall vest on March 31, 2020; and 461 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Mr. Kane was granted 1,382 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 460 of the RSUs vested immediately on January 28, 2020; 461 shall vest on March 31, 2020; and 461 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-20-023029 · ownership.xml · derivative · entry 1

Thompson Cecil Ray JR · CIK 0001805209 · Chief Operations Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,716

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's sole discretion.

F2 · price: Mr. Thompson was granted 25,000 RSUs under the Akerna Corp 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 6,250 on the date of grant; 6,250 on January 1, 2021; 6,250 on January 1, 2022; and 6,250 on January 1, 2023.

F2 · derivative.exercise_date: Mr. Thompson was granted 25,000 RSUs under the Akerna Corp 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 6,250 on the date of grant; 6,250 on January 1, 2021; 6,250 on January 1, 2022; and 6,250 on January 1, 2023.

F2 · derivative.expiration_date: Mr. Thompson was granted 25,000 RSUs under the Akerna Corp 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 6,250 on the date of grant; 6,250 on January 1, 2021; 6,250 on January 1, 2022; and 6,250 on January 1, 2023.

SEC source: 0001213900-19-026872 · ownership.xml · derivative · entry 4

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 121,875 shares

Expires 2024-06-17

F1 · date: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

F1 · ownership.direct: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

SEC source: 0001213900-19-026872 · ownership.xml · nonDerivative · entry 2

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

F1 · price: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

F1 · ownership.direct: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

SEC source: 0001213900-19-027010 · ownership.xml · nonDerivative · entry 1

Rehmatullah Tahira · CIK 0001728551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · kind: Represents the distribution of all of the shares of common stock of the Company held by MTech Sponsor LLC to its underlying members. Ms. Rehmatullah was a member of MTech Sponsor LLC and received 7,500 shares of common stock in the distribution by MTech Sponsor LLC to its underlying members.

F1 · price: Represents the distribution of all of the shares of common stock of the Company held by MTech Sponsor LLC to its underlying members. Ms. Rehmatullah was a member of MTech Sponsor LLC and received 7,500 shares of common stock in the distribution by MTech Sponsor LLC to its underlying members.

SEC source: 0001213900-19-026872 · ownership.xml · derivative · entry 3

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,875

Underlying: Common Stock · 121,875 shares

Expires 2024-06-17

F1 · date: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

F1 · ownership.direct: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

SEC source: 0001213900-19-026872 · ownership.xml · nonDerivative · entry 1

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 805,565

F1 · kind: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

F1 · price: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

F1 · ownership.direct: Represents the distribution of all shares of common stock and warrants to purchase shares of common stock of the Company held by MTech Sponsor LLC (the "Sponsor") to its underlying members. SS FL LLC and Game Boy Partners, LLC are the managing members of the Sponsor and had voting and investment discretion with respect to the common stock held of record by the Sponsor prior to the distribution to its members. Mr. Steven Van Dyke is the managing member of SS FL LLC, one of the managing members of the MTech Sponsor LLC. Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the MTech Sponsor LLC, and jointly with Mr. Van Dyke, had the voting and dispositive power of the securities held by the Sponsor prior to distribution to its members. Accordingly, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares.

SEC source: 0001213900-19-026869 · ownership.xml · derivative · entry 1

Fowle John Michael JR · CIK 0001796829 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,727

Underlying: Common Stock, par value $0.0001 · 72,727 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in its sole discretion.

F2 · derivative.exercise_date: Mr. Fowle was granted 72,727 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan, as amended (the "Plan"). The RSUs will vest as follows: 18,182 shall vest on December 17, 2020; 18,182 shall vest on December 17, 2021; 18,182 shall vest on December 17, 2022; and 18,181 shall vest on December 17, 2023; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Fowle's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Mr. Fowle was granted 72,727 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan, as amended (the "Plan"). The RSUs will vest as follows: 18,182 shall vest on December 17, 2020; 18,182 shall vest on December 17, 2021; 18,182 shall vest on December 17, 2022; and 18,181 shall vest on December 17, 2023; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Fowle's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-19-019879 · ownership.xml · derivative · entry 1

Simosko Nina · CIK 0001788581 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,516

Underlying: Common Stock, par value $0.0001 · 125,156 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs for cash at its discretion.

F2 · derivative.exercise_date: Ms. Simosko was granted 125,156 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"), which vest as follows: 31,379 shares shall vest on October 7, 2020; 31,379 shares shall vest on October 7, 2021; 31,379 shares shall vest on October 7, 2022; and 31,379 shares shall vest on October 7, 2023; provided that (i) the RSUs shall vest immediately upon a Change in Control, and (ii) 33% of the unvested RSUs shall vest immediately on the date that Ms. Simosko is terminated without cause or by her with good reason. Subject to Ms. Simosko's continued employment with the Company, the shares of common stock deliverable upon vesting of the RSUs shall be delivered on October 7, 2023. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Ms. Simosko was granted 125,156 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"), which vest as follows: 31,379 shares shall vest on October 7, 2020; 31,379 shares shall vest on October 7, 2021; 31,379 shares shall vest on October 7, 2022; and 31,379 shares shall vest on October 7, 2023; provided that (i) the RSUs shall vest immediately upon a Change in Control, and (ii) 33% of the unvested RSUs shall vest immediately on the date that Ms. Simosko is terminated without cause or by her with good reason. Subject to Ms. Simosko's continued employment with the Company, the shares of common stock deliverable upon vesting of the RSUs shall be delivered on October 7, 2023. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-19-020059 · ownership.xml · derivative · entry 1

Iwanowski Mark · CIK 0001780018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 490

Underlying: Common Stock, par value $0.0001 · 490 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's its sole discretion.

F2 · price: Mr. Iwanowski was granted 490 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 123 of the RSUs vested immediately on October 7, 2019; 123 shall vest on December 31, 2019; 122 shall vest on March 31, 2020; and 122 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Iwanowski's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Mr. Iwanowski was granted 490 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 123 of the RSUs vested immediately on October 7, 2019; 123 shall vest on December 31, 2019; 122 shall vest on March 31, 2020; and 122 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Iwanowski's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Mr. Iwanowski was granted 490 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 123 of the RSUs vested immediately on October 7, 2019; 123 shall vest on December 31, 2019; 122 shall vest on March 31, 2020; and 122 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Iwanowski's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-19-020055 · ownership.xml · derivative · entry 1

Rehmatullah Tahira · CIK 0001728551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 572

Underlying: Common Stock, par value $0.0001 · 572 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company'sits sole discretion.

F2 · price: Ms. Rehmatullah was granted 572 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 143 of the RSUs vested immediately on October 7, 2019; 143 shall vest on December 31, 2019; 143 shall vest on March 31, 2020; and 143 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Rehmatullah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Ms. Rehmatullah was granted 572 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 143 of the RSUs vested immediately on October 7, 2019; 143 shall vest on December 31, 2019; 143 shall vest on March 31, 2020; and 143 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Rehmatullah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Ms. Rehmatullah was granted 572 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 143 of the RSUs vested immediately on October 7, 2019; 143 shall vest on December 31, 2019; 143 shall vest on March 31, 2020; and 143 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Ms. Rehmatullah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-19-020051 · ownership.xml · derivative · entry 1

Shah Ashesh C · CIK 0001790366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169

Underlying: Common Stock, par value $0.0001 · 169 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's its sole discretion.

F2 · price: Mr. Shah was granted 169 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan, as amended (the "Plan"). The RSUs will vest as follows: 57 shall vest on December 31, 2019; 56 shall vest on March 31, 2020; and 56 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Shah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.exercise_date: Mr. Shah was granted 169 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan, as amended (the "Plan"). The RSUs will vest as follows: 57 shall vest on December 31, 2019; 56 shall vest on March 31, 2020; and 56 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Shah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F2 · derivative.expiration_date: Mr. Shah was granted 169 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan, as amended (the "Plan"). The RSUs will vest as follows: 57 shall vest on December 31, 2019; 56 shall vest on March 31, 2020; and 56 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Shah's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-19-020053 · ownership.xml · derivative · entry 2

Kane Matthew Ryan · CIK 0001780327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 532

Underlying: Common Stock, par value $0.0001 · 532 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's sole discretion.

F3 · price: Mr. Kane was granted 532 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 133 of the RSUs vested immediately on October 7, 2019; 133 shall vest on December 31, 2019; 133 shall vest on March 31, 2020; and 133 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F3 · derivative.exercise_date: Mr. Kane was granted 532 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 133 of the RSUs vested immediately on October 7, 2019; 133 shall vest on December 31, 2019; 133 shall vest on March 31, 2020; and 133 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F3 · derivative.expiration_date: Mr. Kane was granted 532 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 133 of the RSUs vested immediately on October 7, 2019; 133 shall vest on December 31, 2019; 133 shall vest on March 31, 2020; and 133 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001567619-22-008057 · doc1.xml · derivative · entry 2

Kane Matthew Ryan · CIK 0001780327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 532

Underlying: Common Stock, par value $0.0001 · 532 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") 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 RSUs in cash or stock, in the Company's sole discretion.

F3 · price: Mr. Kane was granted 532 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 133 of the RSUs vested immediately on October 7, 2019; 133 shall vest on December 31, 2019; 133 shall vest on March 31, 2020; and 133 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F3 · derivative.exercise_date: Mr. Kane was granted 532 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 133 of the RSUs vested immediately on October 7, 2019; 133 shall vest on December 31, 2019; 133 shall vest on March 31, 2020; and 133 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

F3 · derivative.expiration_date: Mr. Kane was granted 532 RSUs under the Akerna Corp. 2019 Long Term Incentive Plan (the "Plan"). The RSUs will vest as follows: 133 of the RSUs vested immediately on October 7, 2019; 133 shall vest on December 31, 2019; 133 shall vest on March 31, 2020; and 133 shall vest on June 30, 2020; provided that the RSUs shall vest immediately upon a Change in Control. Subject to Mr. Kane's continued employment with the Company, the RSUs shall be settled on the final vesting date. All capitalized but undefined terms have the meanings ascribed thereto by the Plan.

SEC source: 0001213900-19-020053 · ownership.xml · nonDerivative · entry 1

Kane Matthew Ryan · CIK 0001780327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 261,750

F1 · kind: Represents the liquidating distribution of all of the shares of common stock of the Company held by Jud Wiebe Fund, LLC to its underlying beneficial owners. Mr. Kane was the manager Jud Wiebe Fund, LLC and had voting and dispositive control with respect to the common stock owned by Jud Wiebe Fund, LLC prior to the liquidating distribution of such shares. Mr. Kane disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

F1 · price: Represents the liquidating distribution of all of the shares of common stock of the Company held by Jud Wiebe Fund, LLC to its underlying beneficial owners. Mr. Kane was the manager Jud Wiebe Fund, LLC and had voting and dispositive control with respect to the common stock owned by Jud Wiebe Fund, LLC prior to the liquidating distribution of such shares. Mr. Kane disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

F4 · ownership.nature: Mr. Kane is the manager of Seam Capital, LLC and has voting and dispositive control with respect to the common stock owned by Seam Capital, LLC. Mr. Kane disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001567619-22-008057 · doc1.xml · nonDerivative · entry 1

Kane Matthew Ryan · CIK 0001780327 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Seam Capital, LLC

Disclosed balance after: 261,340

F1 · price: Represents the liquidating distribution of all of the shares of common stock of the Company held by Jud Wiebe Fund, LLC to its underlying beneficial owners. Mr. Kane was the manager of Jud Wiebe Fund, LLC and had voting and dispositive control with respect to the common stock owned by Jud Wiebe Fund, LLC prior to the liquidating distribution of such shares. Mr. Kane disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

F5 · balance_after: This amendment is being filed to correct the total non-derivative securities held following the 9/18/2019 transaction, erroneously reported on the original Form 4 filed 10/9/2019.

F1 · ownership.nature: Represents the liquidating distribution of all of the shares of common stock of the Company held by Jud Wiebe Fund, LLC to its underlying beneficial owners. Mr. Kane was the manager of Jud Wiebe Fund, LLC and had voting and dispositive control with respect to the common stock owned by Jud Wiebe Fund, LLC prior to the liquidating distribution of such shares. Mr. Kane disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

F4 · ownership.nature: Mr. Kane is the manager of Seam Capital, LLC and has voting and dispositive control with respect to the common stock owned by Seam Capital, LLC. Mr. Kane disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

SEC source: 0001213900-19-011070 · ownership.xml · derivative · entry 3

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

Sozio Scott · CIK 0001403062 · Director

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,750

Underlying: Common Stock · 243,750 shares

Expires 2024-06-17

F3 · date: Received in exchanged for 243,750 warrants of MTech pursuant to the Merger Agreement.

F4 · ownership.direct: SS FL LLC and Game Boy Partners, LLC are the managing members of MTech Sponsor LLC and have voting and investment discretion with respect to the common stock held of record by MTech Sponsor LLC. SS FL LLC and Game Boy Partners, LLC may be deemed to have shared beneficial ownership of the common stock held directly by MTech Sponsor LLC. Mr. Sozio is a Director of Akerna and Mr. Sozio and Mr. Van Dyke are the managing members of SS FL LLC, one of the managing members of the Sponsor.

F5 · ownership.direct: Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the Sponsor, and jointly with Mr. Sozio and Mr. Van Dyke has the voting and dispositive power of the securities held by the Sponsor. Accordingly, Mr. Sozio, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares. Each such person or entity disclaims beneficial ownership over any securities owned by the Sponsor in which they do not have any pecuniary interest.

SEC source: 0001213900-19-011070 · ownership.xml · nonDerivative · entry 2

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

Sozio Scott · CIK 0001403062 · Director

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,581,130

F2 · kind: Represents shares transferred to certain investors in a private financing consummated concurrently with the closing of the Merger Agreement.

F2 · price: Represents shares transferred to certain investors in a private financing consummated concurrently with the closing of the Merger Agreement.

F4 · ownership.direct: SS FL LLC and Game Boy Partners, LLC are the managing members of MTech Sponsor LLC and have voting and investment discretion with respect to the common stock held of record by MTech Sponsor LLC. SS FL LLC and Game Boy Partners, LLC may be deemed to have shared beneficial ownership of the common stock held directly by MTech Sponsor LLC. Mr. Sozio is a Director of Akerna and Mr. Sozio and Mr. Van Dyke are the managing members of SS FL LLC, one of the managing members of the Sponsor.

F5 · ownership.direct: Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the Sponsor, and jointly with Mr. Sozio and Mr. Van Dyke has the voting and dispositive power of the securities held by the Sponsor. Accordingly, Mr. Sozio, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares. Each such person or entity disclaims beneficial ownership over any securities owned by the Sponsor in which they do not have any pecuniary interest.

SEC source: 0001213900-19-011070 · ownership.xml · nonDerivative · entry 1

MTech Sponsor LLC · CIK 0001719877 · 10% owner

SS FL LLC · CIK 0001729464 · 10% owner

Game Boy Partners LLC · CIK 0001729513 · 10% owner

Sozio Scott · CIK 0001403062 · Director

VAN DYKE STEVEN A · CIK 0001042288 · 10% owner

Effron Drew · CIK 0001729889 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,681,250

F1 · shares: Received in exchange for an aggregate of 1,681,250 shares of MTech common stock in connection with the transactions contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among MTech Acquisition Corp. ("MTech"), MTech Acquisition Holdings Inc. (which subsequently filed an Amended and Restated Certificate of Incorporation to change the company's name to Akerna Corp.), MTech Purchaser Merger Sub Inc., MTech Company Merger Sub LLC, MTech Sponsor LLC, MJ Freeway LLC ("MJF") and Jessica Billingsley (as successor to Harold Handelsman), dated as of October 10, 2018, as amended by that certain First Amendment to Agreement and Plan of Merger, dated as of April 17, 2019. These shares remain subject to the terms of that certain unit subscription agreement. The acquisition of these securities by the reporting persons was approved pursuant to Rule 16b-3(d)(1).

F1 · price: Received in exchange for an aggregate of 1,681,250 shares of MTech common stock in connection with the transactions contemplated by that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among MTech Acquisition Corp. ("MTech"), MTech Acquisition Holdings Inc. (which subsequently filed an Amended and Restated Certificate of Incorporation to change the company's name to Akerna Corp.), MTech Purchaser Merger Sub Inc., MTech Company Merger Sub LLC, MTech Sponsor LLC, MJ Freeway LLC ("MJF") and Jessica Billingsley (as successor to Harold Handelsman), dated as of October 10, 2018, as amended by that certain First Amendment to Agreement and Plan of Merger, dated as of April 17, 2019. These shares remain subject to the terms of that certain unit subscription agreement. The acquisition of these securities by the reporting persons was approved pursuant to Rule 16b-3(d)(1).

F4 · ownership.direct: SS FL LLC and Game Boy Partners, LLC are the managing members of MTech Sponsor LLC and have voting and investment discretion with respect to the common stock held of record by MTech Sponsor LLC. SS FL LLC and Game Boy Partners, LLC may be deemed to have shared beneficial ownership of the common stock held directly by MTech Sponsor LLC. Mr. Sozio is a Director of Akerna and Mr. Sozio and Mr. Van Dyke are the managing members of SS FL LLC, one of the managing members of the Sponsor.

F5 · ownership.direct: Mr. Drew Effron is the managing member of Game Boy Partners, LLC, the other managing member of the Sponsor, and jointly with Mr. Sozio and Mr. Van Dyke has the voting and dispositive power of the securities held by the Sponsor. Accordingly, Mr. Sozio, Mr. Van Dyke and Mr. Effron may be deemed to have or share beneficial ownership of such shares. Each such person or entity disclaims beneficial ownership over any securities owned by the Sponsor in which they do not have any pecuniary interest.