0001079973-22-000437.txt : 20220415
0001079973-22-000437.hdr.sgml : 20220415
20220415175826
ACCESSION NUMBER: 0001079973-22-000437
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220413
FILED AS OF DATE: 20220415
DATE AS OF CHANGE: 20220415
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: 22830788
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: 3855 AMBROSIA STREET, SUITE 301
CITY: CASTLE ROCK
STATE: CO
ZIP: 80109
BUSINESS PHONE: 303-794-2000
MAIL ADDRESS:
STREET 1: 3855 AMBROSIA STREET, SUITE 301
CITY: CASTLE ROCK
STATE: CO
ZIP: 80109
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
2022-04-13
0
0001167419
Riot Blockchain, Inc.
RIOT
0001864143
Theriot Lyle Joseph
C/O RIOT BLOCKCHAIN, INC.
3855 AMBROSIA STRET, STE.0301
CASTLE ROCK
CO
80109
0
1
0
0
see Remarks
Restricted Stock Units
0.00
2022-04-13
4
A
0
14000
0.00
A
Common Stock
14000
16488
D
Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") the Reporting Person was granted performance-based restricted stock unit ("PSUs") as of August 12, 2021, which are eligible to vest contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. Each PSU represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer.
On April 13, 2022, the Committee determined that the performance criteria corresponding to 14,000 PSUs had been achieved as of March 31, 2022. Therefore, 14,000 of the PSUs originally awarded to the Reporting Person became vested as of April 13, 2022. Upon vesting, the Issuer records PSUs as Restricted Stock Units, which are eligible to be settled by the Issuer in shares of its Common Stock on a one-for-one basis, subject to any net settlement for taxes as permitted under the Plan and as approved by the Committee. Accordingly, the award of 14,000 Restricted Stock Units reported on this Form 4 represents the vesting of 14,000 PSUs awarded to the Reporting Person on August 12, 2021.
Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction.
The Reporting Person is the Chief Operating Officer of Whinstone US, Inc., a wholly owned subsidiary of Riot Blockchain, Inc.
/s/ Lyle Joseph Theriot
2022-04-15