0001079973-21-000459.txt : 20210603 0001079973-21-000459.hdr.sgml : 20210603 20210603162519 ACCESSION NUMBER: 0001079973-21-000459 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210601 FILED AS OF DATE: 20210603 DATE AS OF CHANGE: 20210603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCGONEGAL JEFFREY CENTRAL INDEX KEY: 0001187604 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 21992806 MAIL ADDRESS: STREET 1: 1905 W VALLEY VISTA DR CITY: CASTLE ROCK STATE: CO ZIP: 80104 FORMER NAME: FORMER CONFORMED NAME: MCGONEGAL JEFFEREY DATE OF NAME CHANGE: 20020909 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 2021-06-01 0 0001167419 Riot Blockchain, Inc. RIOT 0001187604 MCGONEGAL JEFFREY C/O RIOT BLOCKCHAIN, INC. 202 6TH STREET, SUITE 401 CASTLE ROCK CO 80104 0 1 0 0 Chief Financial Officer Common Stock 2021-06-01 4 M 0 5000 A 300867 D Common Stock 2021-06-01 4 F 0 1500 27.13 D 299367 D Restricted Stock Units 0.00 2021-06-01 4 M 0 5000 0.00 A Common Stock 5000 27000 D Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") covert 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 beneficial 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 5,000 vested RSUs, as permitted under the Plan. Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 McGonegal Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan as equity compensation, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 McGonegal Employment Agreement. /s/ Jeffrey McGonegal 2021-06-03