SEC Form 4 · accession 0001567619-18-003078
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Remo Mancini
Director
Period of report
Sep 20, 2018
Accepted (ET)
Sep 24, 2018 · 8:48 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 | 24,000 | $0.00 | A | 76,500 | 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 | 24,000 | A | — | — | Common Stock | 24,000 | 24,000 | D |
Explanation of responses
- F1Represents the 24,000 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 grant, subject to the restrictions of the Plan.
- F3Includes awards of 52,500 RSUs granted on March 21, 2018 and February 23, 2018 in connection with the retention of the Reporting Person as Chairman of the Board of Directors of the Issuer, 100% of which have vested pursuant to the Plan.
- F4Not Applicable.
- F5Represents only the 24,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.