SEC Form 4 · accession 0001415889-16-007358
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry C Honig
10% Owner
Period of report
Sep 30, 2016
Accepted (ET)
Nov 8, 2016 · 7:22 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 | Sep 30, 2016 | P | 2,228 | $2.80 | A | 391,387 | I | See footnote |
| Common StockF1 | Oct 6, 2016 | P | 12,777 | $2.71 | A | 404,164 | I | See footnote |
| Common StockF1 | Oct 13, 2016 | P | 28,935 | $2.28 | A | 433,099 | I | See footnote |
| Common StockF1 | Oct 19, 2016 | P | 6,086 | $2.78 | A | 439,185 | I | See footnote |
| Common StockF2 | Oct 18, 2016 | P | 13,400 | $2.68 | A | 13,400 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Held by GRQ Consultants, Inc. 401K ("401K"). The Reporting Person is the trustee of 401K and in such capacity holds voting and dispositive power over the securities held by such entity.
- F2Held by GRQ Consultants, Inc. Roth 401K FBO Barry Honig ("Roth 401K"). The Reporting Person is the trustee of Roth 401K and in such capacity holds voting and dispositive power over the securities held by such entity.