SEC Form 4 · accession 0001140361-17-041046
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R. O'Rourke III
Officer — President, CEO, Chairman · Director
Period of report
Nov 3, 2017
Accepted (ET)
Nov 3, 2017 · 6:33 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 | Nov 3, 2017 | A | 344,000 | $0.00 | A | 44,750 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF5,F6,F4 | $10.00 | Nov 3, 2017 | A | 100,000 | A | — | Nov 3, 2027 | Common Stock | 100,000 | 8,334 | D |
Explanation of responses
- F1Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a 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.
- F2Restricted Stock Award is compensation for the Reporting Person's appointment as Chief Executive Officer of the Issuer.
- F3Includes shares vested or to be vested within 60 days pursuant to the Restricted Stock Award.
- F4Represents an option award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Option 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, subject to shareholder approval.
- F5Option Award is compensation for the Reporting Person's appointment as Chief Executive Officer of the Issuer.
- F6Includes options vested or to be vested within 60 days pursuant to the Option Award.