SEC Form 4 · accession 0001140361-17-033117
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J Kaplan
Director
Period of report
Aug 21, 2017
Accepted (ET)
Aug 23, 2017 · 5:20 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,F2,F3 | Aug 21, 2017 | A | 10,000 | $0.00 | A | 2,916 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.
- F2Restricted Stock Award is compensation for the Reporting Person's service on the Board.
- F3Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.