SEC Form 4 · accession 0001140361-17-038655
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
Oct 11, 2017
Accepted (ET)
Oct 13, 2017 · 4:45 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 | Oct 11, 2017 | A | 5,000 | $0.00 | A | 714 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock award under the Riot Blockchain, Inc., (formerly - Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 7 equal monthly installments beginning on October 31, 2017. 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 as Chief Financial Officer.
- F3Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.