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