SEC Form 4 · accession 0001415889-16-007518
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
Dec 1, 2016
Accepted (ET)
Dec 2, 2016 · 5:16 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 | Dec 1, 2016 | P | 7,484 | $4.95 | A | 477,669 | D | |
| Common StockF1 | Dec 1, 2016 | P | 1,000 | $5.32 | A | 478,669 | D | |
| Common StockF1 | Dec 1, 2016 | P | 1,000 | $5.30 | A | 479,669 | D | |
| Common StockF1 | Dec 1, 2016 | P | 1,600 | $5.00 | A | 481,269 | D | |
| Common StockF1 | Dec 1, 2016 | P | 18,731 | $5.05 | A | 500,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes (i) 439,585 shares of common stock held by GRQ Consultants, Inc. 401K ("401K") and (ii) 30,600 shares of common stock held by GRQ Consultants, Inc. Roth 401K FBO Barry Honig ("Roth 401K"). Mr. Honig is the trustee of 401K and Roth 401K in such capacity holds voting and dispositive power over the securities held by such entities.