Form 3 Shah Ashesh C

Initial statement of beneficial ownership of securities

Published: 2019-10-07 17:01:39
Submitted: 2019-10-07
Period Ending In: 2019-09-26
ownership.html OWNERSHIP DOCUMENT


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SEC FORM 3

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Shah Ashesh C

(Last) (First) (Middle)
1601 ARAPAHOE STREET, SUITE 900

(Street)
DENVER CO 80202

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/26/2019
3. Issuer Name and Ticker or Trading Symbol
Akerna Corp. [ KERN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 Stock, $.0001 par value per share 10,882(1) I See Footnote(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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. ACS Pedersen LLC (d/b/a The London Fund SPV 10, LLC) ("ASC") owns 10,882 shares of common stock. Ashesh Shah is a managing member of ACS and shares voting and dispositive power with respect to the common stock owned by ACS. Mr. Shah disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.
/s/ Ashesh Shah 10/07/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
ownership.xml OWNERSHIP DOCUMENT
Schema Version:
X0206
Document Type:
3
Period Of Report:
2019-09-26
No Securities Owned:
0

Issuer

Issuer Cik
0001755953
Issuer Name
Akerna Corp.
Issuer Trading Symbol
KERN

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001790366
Rpt Owner Name
Shah Ashesh C

Reporting Owner Address

Rpt Owner Street1
1601 ARAPAHOE STREET, SUITE 900
Rpt Owner City
DENVER
Rpt Owner State
CO
Rpt Owner Zip Code
80202

Reporting Owner Relationship

Is Director
1
Is Officer
0
Is Ten Percent Owner
0
Is Other
0

Non Derivative Holding

Security Title
Common Stock, $.0001 par value per share

Shares Owned Following Transaction

Value
10882
@attributes Id
F1

Ownership Nature

Direct Or Indirect Ownership
I

Nature Of Ownership

Value
See Footnote
@attributes Id
F1
Footnotes Footnote
ACS Pedersen LLC (d/b/a The London Fund SPV 10, LLC) ("ASC") owns 10,882 shares of common stock. Ashesh Shah is a managing member of ACS and shares voting and dispositive power with respect to the common stock owned by ACS. Mr. Shah disclaims beneficial ownership in the shares of common stock except to the extent of his pecuniary interest therein.

Owner Signature

Signature Name
/s/ Ashesh Shah
Signature Date
2019-10-07
Additional Files
FileSequenceDescriptionTypeSize
0001213900-19-019891.txt   Complete submission text file   4202
$KERN

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