0001079973-21-000802.txt : 20210816
0001079973-21-000802.hdr.sgml : 20210816
20210816165819
ACCESSION NUMBER: 0001079973-21-000802
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210812
FILED AS OF DATE: 20210816
DATE AS OF CHANGE: 20210816
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: 211179435
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
2021-08-12
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
Restricted Stock Units
0.00
2021-08-12
4
A
0
36667
0.00
A
Common Stock
36667
51667
D
Represents performance-based restricted stock units ("PSUs") which covert, on a one-for-one basis, into shares of the Issuer's Common Stock, no par value per share, subject to any net settlement for taxes permitted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended (the "Plan"). The PSUs were issued to the Reporting Person under the Plan pursuant to the Performance Restricted Stock Unit Award Agreement, dated as of August 12, 2021, between the Issuer and the Reporting Person (the "Award Agreement"), as approved by the Compensation and Human Resources Committee of the Issuer.
On August 12, 2021, the Committee determined the performance goals for 36,667 of the PSUs had been achieved. Accordingly, the 36,667 PSUs indicated on this report became fully vested and eligible to be settled by the Issuer in accordance with its customary practices and procedures, subject to any net settlement for taxes permitted under the Plan and the Award Agreement.
Represents the total direct and indirect beneficial ownership of the security held by the Reporting Person immediately following the issuance reported by this Form 4.
/s/ Jeffrey G. McGonegal
2021-08-16