SEC Form 4 · accession 0001567619-18-003076

Riot Platforms, Inc. · RIOT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Sep 20, 2018

Accepted (ET)

Sep 24, 2018 · 8:45 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 Stock^F2,F3	Sep 20, 2018	M	12,000	$0.00	A	41,500	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F5,F2,F4	—	Sep 20, 2018	M	12,000	A	—	—	Common Stock	12,000	12,000	D

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 under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.
F3Includes: (i) an award of 12,000 RSUs granted on May 5, 2017, which award vests in 24 monthly increments beginning one month following the grant; (ii) an award of 10,000 RSUs granted on August 21, 2017, which award vests in 24 monthly increments beginning one month following the grant; (iii) an award of 7,500 RSUs granted on March 21, 2018, which award vested pursuant to the Plan; and (iv) an award of 12,000 RSUs granted on September 20, 2018, which award vested on the date of grant. Each of these restricted stock awards were granted by the Issuer in connection with the retention of the Reporting Person as a member of its Board of Directors.
F4Not applicable.
F5Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.