0001567619-18-003079.txt : 20180924 0001567619-18-003079.hdr.sgml : 20180924 20180924205915 ACCESSION NUMBER: 0001567619-18-003079 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180920 FILED AS OF DATE: 20180924 DATE AS OF CHANGE: 20180924 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ensey Christopher CENTRAL INDEX KEY: 0001730045 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 181084558 MAIL ADDRESS: STREET 1: 1200 STEWART ST. UNIT 527 CITY: BALTIMORE STATE: MD ZIP: 21230 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Riot Blockchain, Inc. CENTRAL INDEX KEY: 0001167419 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] 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 doc1.xml FORM 4 X0306 4 2018-09-20 0 0001167419 Riot Blockchain, Inc. RIOT 0001730045 Ensey Christopher C/O RIOT BLOCKCHAIN, INC. 202 6TH STREET, SUITE 401 CASTLE ROCK CO 80104 0 1 0 0 Interim CEO Common Stock 2018-09-20 4 M 0 24000 0.00 A 74000 D Restricted Stock Unit 2018-09-20 4 M 0 24000 0.00 A Common Stock 24000 24000 D Represents the 24,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan"). Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost on September 20, 2018 in connection with the Reporting Person's appointment as interim Chief Executive Officer, which award vested on the date of grant, subject to the restrictions of the Plan. Includes a restricted stock option award of the option to purchase 50,000 shares of Common Stock granted on January 27, 2018 in connection with the Reporting Person's appointment as Chief Operating Officer, which option shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance at an option price of $18.50 per share. Not applicable. Represents only the 24,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported. /s/ Christopher Ensey 2018-09-24