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