0001079973-21-000314.txt : 20210427 0001079973-21-000314.hdr.sgml : 20210427 20210427185351 ACCESSION NUMBER: 0001079973-21-000314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210426 FILED AS OF DATE: 20210427 DATE AS OF CHANGE: 20210427 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Les Jason CENTRAL INDEX KEY: 0001721702 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 21860776 MAIL ADDRESS: STREET 1: C/O RIOT BLOCKCHAIN, INC. STREET 2: 202 6TH STREET, SUITE 401 CITY: CASTLE ROCK STATE: CO ZIP: 80104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Riot Blockchain, Inc. CENTRAL INDEX KEY: 0001167419 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 841553387 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 202 6TH STREET, SUITE 401 CITY: CASTLE ROCK STATE: CO ZIP: 80104 BUSINESS PHONE: 303-794-2000 MAIL ADDRESS: STREET 1: 202 6TH STREET, SUITE 401 CITY: CASTLE ROCK STATE: CO ZIP: 80104 FORMER COMPANY: FORMER CONFORMED NAME: Bioptix, Inc. DATE OF NAME CHANGE: 20161201 FORMER COMPANY: FORMER CONFORMED NAME: Venaxis, Inc. DATE OF NAME CHANGE: 20121218 FORMER COMPANY: FORMER CONFORMED NAME: AspenBio Pharma, Inc. DATE OF NAME CHANGE: 20051110 4 1 ownership.xml X0306 4 2021-04-26 0 0001167419 Riot Blockchain, Inc. RIOT 0001721702 Les Jason C/O RIOT BLOCKCHAIN, INC. 202 6TH STREET, SUITE 401 CASTLE ROCK CO 80104 1 1 0 0 Chief Executive Officer Common Stock 2021-04-26 4 M 0 6250 A 289652 D Common Stock 2021-04-26 4 F 0 1875 38.48 D 287777 D Restricted Stock Units 0.00 2021-04-26 4 M 0 6250 0.00 D Common Stock 6250 307367 D Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended (the "Plan") convert into shares of the Issuer's Common Stock on a one-for-one basis upon settlement by the Issuer in accordance with the procedures of the Plan. Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4. Represents net settlement for taxes in connection with the settlement of 6,250 vested RSUs, as permitted under the Plan. Pursuant to the terms of the Executive Employment Agreement between the Issuer and the Reporting Person, dated effective as of February 8, 2021 (the "Employment Agreement"), the Reporting Person was granted an award of 25,000 RSUs under the Plan, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the Employment Agreement. The transaction reported on this Table II of this Form 4 represents the conversion of the first vested quarterly installment of this RSU award. /s/ Jason Les 2021-04-27