SEC Form 4 · accession 0001567619-18-003079
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Ensey
Officer — Interim CEO
Period of report
Sep 20, 2018
Accepted (ET)
Sep 24, 2018 · 8:59 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 | 74,000 | 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 | 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 to the Reporting Person by the Issuer under the Plan at no cost on September 20, 2018 in connection with the Reporting Person's appointment as interim Chief Executive Officer, which award vested on the date of grant, subject to the restrictions of the Plan.
- F3Includes a restricted stock option award of the option to purchase 50,000 shares of Common Stock granted on January 27, 2018 in connection with the Reporting Person's appointment as Chief Operating Officer, which option shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance at an option price of $18.50 per share.
- F4Not applicable.
- F5Represents only the 24,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.