0001079973-21-001027.txt : 20211014 0001079973-21-001027.hdr.sgml : 20211014 20211014191018 ACCESSION NUMBER: 0001079973-21-001027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211013 FILED AS OF DATE: 20211014 DATE AS OF CHANGE: 20211014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Theriot Lyle Joseph CENTRAL INDEX KEY: 0001864143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 211324472 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 2021-10-13 0 0001167419 Riot Blockchain, Inc. RIOT 0001864143 Theriot Lyle Joseph C/O RIOT BLOCKCHAIN, INC. 202 6TH STREET, SUITE 401 CASTLE ROCK CO 80104 0 1 0 0 see Remarks Common Stock 2021-10-13 4 M 0 34974 0.00 A 34974 D Common Stock 2021-10-13 4 F 0 10492 25.25 D 24482 D Restricted Stock Units 0.00 2021-10-13 4 M 0 34974 0.00 D Common Stock 34974 4975 D Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan. Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Represents shares of Common Stock withheld for taxes in connection with the settlement by the Issuer following vesting of 4,974 RSUs and 30,000 PSUs previously granted to the Reporting Person under the Plan. The conversion of 4,974 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 9,949 RSUs granted to the Reporting Person on May 12, 2021, which are eligible to vest in four quarterly installments after the grant date. The conversion of the 30,000 vested PSUs reported in Table II relates to the settlement by the Issuer of vested PSUs awarded to the Reporting Person on August 12, 2021, which vested upon the Issuer's attainment of the specified performance objectives corresponding to 30,000 PRSUs under the Plan. The Reporting Person is the Chief Operating Officer of Whinstone US, Inc., a wholly owned subsidiary of Riot Blockchain, Inc. /s/ Lyle Theriot 2021-10-14