<SEC-DOCUMENT>0001213900-19-011249-index.html : 20190621 <SEC-HEADER>0001213900-19-011249.hdr.sgml : 20190621 <ACCEPTANCE-DATETIME>20190621172711 ACCESSION NUMBER: 0001213900-19-011249 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 28 CONFORMED PERIOD OF REPORT: 20190617 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Completion of Acquisition or Disposition of Assets ITEM INFORMATION: Results of Operations and Financial Condition ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Changes in Control of Registrant ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Change in Shell Company Status ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20190621 DATE AS OF CHANGE: 20190621 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Akerna Corp. CENTRAL INDEX KEY: 0001755953 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 333-228220 FILM NUMBER: 19912484 BUSINESS ADDRESS: STREET 1: 1601 ARAPAHOE ST. CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 888-932-6537 MAIL ADDRESS: STREET 1: 1601 ARAPAHOE ST. CITY: DENVER STATE: CO ZIP: 80202 FORMER COMPANY: FORMER CONFORMED NAME: MTech Acquisition Holdings Inc. DATE OF NAME CHANGE: 20181015 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>f8k061719_akernacorp.htm <DESCRIPTION>CURRENT REPORT <TEXT> Document 1 - file: f8k061719_akernacorp.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>2 <FILENAME>f8k061719ex3-1_akerna.htm <DESCRIPTION>AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AKERNA CORP. <TEXT> Document 2 - file: f8k061719ex3-1_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.2 <SEQUENCE>3 <FILENAME>f8k061719ex3-2_akerna.htm <DESCRIPTION>AMENDED AND RESTATED BYLAWS OF AKERNA CORP. <TEXT> Document 3 - file: f8k061719ex3-2_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.3 <SEQUENCE>4 <FILENAME>f8k061719ex4-3_akerna.htm <DESCRIPTION>FORM OF WARRANT AGREEMENT <TEXT> Document 4 - file: f8k061719ex4-3_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>5 <FILENAME>f8k061719ex10-1_akerna.htm <DESCRIPTION>REGISTRATION RIGHTS AGREEMENT, DATED JANUARY 29, 2018, BY AND AMONG MTECH ACQUISITION CORP., MTECH SPONSOR LLC, AND MTECH SPONSOR LLC <TEXT> Document 5 - file: f8k061719ex10-1_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>6 <FILENAME>f8k061719ex10-2_akerna.htm <DESCRIPTION>FIRST AMENDMENT TO REGISTRATION RIGHTS AGREEMENT, DATED JUNE 17, 2019, BY AND AMONG MTECH ACQUISITION CORP., AKERNA CORP. AND MTECH SPONSOR LLC <TEXT> Document 6 - file: f8k061719ex10-2_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.3 <SEQUENCE>7 <FILENAME>f8k061719ex10-3_akerna.htm <DESCRIPTION>STOCK ESCROW AGREEMENT, DATED JANUARY 29, 2018, BY AND AMONG MTECH ACQUISITION CORP., MTECH SPONSOR LLC, AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY <TEXT> Document 7 - file: f8k061719ex10-3_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.4 <SEQUENCE>8 <FILENAME>f8k061719ex10-4_akerna.htm <DESCRIPTION>AMENDMENT TO STOCK ESCROW AGREEMENT, DATED JUNE 17, 2019, BY AND AMONG MTECH ACQUISITION CORP., AKERNA CORP., MTECH SPONSOR LLC, AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY <TEXT> Document 8 - file: f8k061719ex10-4_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.5 <SEQUENCE>9 <FILENAME>f8k061719ex10-5_akerna.htm <DESCRIPTION>NON-COMPETITION AND NON-SOLICITATION AGREEMENT DATED JUNE 17, 2019, BY AND AMONG JESSICA BILLINGSLEY, AKERNA CORP., MJ FREEWAY AND MTECH SPONSOR LLC <TEXT> Document 9 - file: f8k061719ex10-5_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.6 <SEQUENCE>10 <FILENAME>f8k061719ex10-6_akerna.htm <DESCRIPTION>NON-COMPETITION AND NON-SOLICITATION AGREEMENT DATED JUNE 17, 2019, BY AND AMONG AMY POINSETT, AKERNA CORP., MJ FREEWAY AND MTECH SPONSOR LLC <TEXT> Document 10 - file: f8k061719ex10-6_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.7 <SEQUENCE>11 <FILENAME>f8k061719ex10-7_akerna.htm <DESCRIPTION>FORM OF INDEMNIFICATION AGREEMENT OF OFFICERS AND DIRECTORS <TEXT> Document 11 - file: f8k061719ex10-7_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.8 <SEQUENCE>12 <FILENAME>f8k061719ex10-8_akerna.htm <DESCRIPTION>FORM OF SUBSCRIPTION AGREEMENT, BY AND AMONG MTECH ACQUISITION CORP., AKERNA CORP., AND EACH PURCHASER SIGNATORY THERETO <TEXT> Document 12 - file: f8k061719ex10-8_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.9 <SEQUENCE>13 <FILENAME>f8k061719ex10-9_akerna.htm <DESCRIPTION>FORM OF AGREEMENT TO TRANSFER SPONSOR SHARES, BY AND AMONG MTECH ACQUISITION CORP., AKERNA CORP. EACH TRANSFEREE SIGNATORY THERETO, AND CONTINENTAL STOCK TRANSFER &TRUST COMPANY <TEXT> Document 13 - file: f8k061719ex10-9_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.10 <SEQUENCE>14 <FILENAME>f8k061719ex10-10_akerna.htm <DESCRIPTION>EMPLOYMENT AGREEMENT, DATED JUNE 17, 2019, BY AND BETWEEN JESSICA BILLINGSLEY AND AKERNA CORP. <TEXT> Document 14 - file: f8k061719ex10-10_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.12 <SEQUENCE>15 <FILENAME>f8k061719ex10-12_akerna.htm <DESCRIPTION>FORM OF OPTION GRANT CERTIFICATE <TEXT> Document 15 - file: f8k061719ex10-12_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.13 <SEQUENCE>16 <FILENAME>f8k061719ex10-13_akerna.htm <DESCRIPTION>FORM OF RESTRICTED STOCK UNIT AWARD <TEXT> Document 16 - file: f8k061719ex10-13_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.14 <SEQUENCE>17 <FILENAME>f8k061719ex10-14_akerna.htm <DESCRIPTION>FORM OF STOCK AWARD <TEXT> Document 17 - file: f8k061719ex10-14_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.15 <SEQUENCE>18 <FILENAME>f8k061719ex10-15_akerna.htm <DESCRIPTION>FORM OF RESTRICTED STOCK AWARD <TEXT> Document 18 - file: f8k061719ex10-15_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.16 <SEQUENCE>19 <FILENAME>f8k061719ex10-16_akerna.htm <DESCRIPTION>FORM OF APPRECIATION RIGHTS AWARD <TEXT> Document 19 - file: f8k061719ex10-16_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-21.1 <SEQUENCE>20 <FILENAME>f8k061719ex21-1_akerna.htm <DESCRIPTION>SUBSIDIARIES OF AKERNA CORP <TEXT> Document 20 - file: f8k061719ex21-1_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-23.1 <SEQUENCE>21 <FILENAME>f8k061719ex23-1_akerna.htm <DESCRIPTION>CONSENT OFMARCUM LLP <TEXT> Document 21 - file: f8k061719ex23-1_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-23.2 <SEQUENCE>22 <FILENAME>f8k061719ex23-2_akerna.htm <DESCRIPTION>CONSENT OF MARCUM LLP <TEXT> Document 22 - file: f8k061719ex23-2_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>23 <FILENAME>f8k061719ex99-1_akerna.htm <DESCRIPTION>UNAUDITED CONDENSED FINANCIAL STATEMENTS OF MJ FREEWAY, LLC FOR THE THREE AND NINE MONTHS ENDED MARCH 31, 2019 AND 2018 <TEXT> Document 23 - file: f8k061719ex99-1_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.2 <SEQUENCE>24 <FILENAME>f8k061719ex99-2_akerna.htm <DESCRIPTION>AUDITED FINANCIAL STATEMENTS OF MJ FREEWAY, LLC FOR THE YEARS ENDED JUNE, 2018 AND 2017 <TEXT> Document 24 - file: f8k061719ex99-2_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.3 <SEQUENCE>25 <FILENAME>f8k061719ex99-3_akerna.htm <DESCRIPTION>UNAUDITED CONDENSED CONSOLIDATED FINANCIAL STATEMENTS OF MTECH ACQUISITION CORP. FOR THE THREE MONTHS ENDED MARCH 31, 2019 AND 2018 <TEXT> Document 25 - file: f8k061719ex99-3_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.4 <SEQUENCE>26 <FILENAME>f8k061719ex99-4_akerna.htm <DESCRIPTION>AUDITED FINANCIAL STATEMENTS OF MTECH ACQUISITION CORP. FOR THE YEARS ENDED DECEMBER 31, 2018 AND THE PERIOD FROM SEPTEMBER 27, 2017 (INCEPTION) THROUGH DECEMBER 31, 2017 <TEXT> Document 26 - file: f8k061719ex99-4_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.5 <SEQUENCE>27 <FILENAME>f8k061719ex99-5_akerna.htm <DESCRIPTION>UNAUDITED PRO FORMA COMBINED FINANCIAL STATEMENTS <TEXT> Document 27 - file: f8k061719ex99-5_akerna.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>28 <FILENAME>ex3-1_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 28 - file: ex3-1_001.jpg
</DOCUMENT> </SEC-DOCUMENT>