SEC Form 4 · accession 0001567619-18-003075
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robby Sai Kit Chang
Officer — Chief Financial Officer
Period of report
Sep 20, 2018
Accepted (ET)
Sep 24, 2018 · 8:40 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 StockF2,F3 | Sep 20, 2018 | M | 12,000 | $0.00 | A | 72,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF5,F2,F4 | — | Sep 20, 2018 | M | 12,000 | A | — | — | Common Stock | 12,000 | 12,000 | D |
Explanation of responses
- F1Represents the 12,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").
- F2Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost as employment incentive on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.
- F3Includes an award of 60,000 RSUs granted on February 27, 2018 in connection with the Reporting Person's appointment as Chief Financial Officer, which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance.
- F4Not applicable.
- F5Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.