SEC Form 4 · accession 0001140361-17-041446
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Nov 3, 2017
Accepted (ET)
Nov 7, 2017 · 5:13 pm EST
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 | 40,000 | $0.00 | A | 177,918 | 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. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which was awarded and immediately vested in connection with the Reporting Person's execution of a Separation Agreement.
- F2Restricted Stock Award is compensation for the Reporting Person's resignation as Chief Executive Officer of the Issuer.
- F3Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.