SEC Form 4 · accession 0001140361-17-027001
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey McGonegal
Officer — Chief Financial Officer
Period of report
Jun 30, 2017
Accepted (ET)
Jul 3, 2017 · 5:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001167419
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 30, 2017 | A | 20,000 | $0.00 | A | 20,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | — | Jun 30, 2017 | J | 67,172 | D | — | — | Common Stock | 67,172 | 0 | D |
Explanation of responses
- F1Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), granted as compensation in connection with the Reporting Person's service pursuant to that certain retention agreement dated June 30, 2017 in connection with the Reporting Person's retention as Chief Financial Officer of the Company. The restricted stock award shall vest on the Employment Termination Date, as defined therein.
- F2Mr. McGonegal agreed to waive his rights to 67,172 outstanding stock options in exchange for a one-time lump-sum payment of $50,000