0001079973-21-001210.txt : 20211207 0001079973-21-001210.hdr.sgml : 20211207 20211207210937 ACCESSION NUMBER: 0001079973-21-001210 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211206 FILED AS OF DATE: 20211207 DATE AS OF CHANGE: 20211207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cho Hannah CENTRAL INDEX KEY: 0001846283 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 211477417 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 2021-12-06 0 0001167419 Riot Blockchain, Inc. RIOT 0001846283 Cho Hannah C/O RIOT BLOCKCHAIN, INC. 202 6TH STREET, SUITE 401 CASTLE ROCK CO 80104 1 0 0 0 Common Stock 2021-12-06 4 M 0 10000 0.00 A 10000 D Common Stock 2021-12-06 4 F 0 5000 28.64 D 5000 D Restricted Stock Units 0.00 2021-12-06 4 A 0 10000 0.00 A Common Stock 10000 2500 D Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (the "Plan") covert into shares of the Issuer's common stock, no par value per share, (the "Common Stock") on a one-for-one basis, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee") upon settlement by the Issuer in accordance with the procedures of the Plan. 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. Represents net settlement in connection with the conversion of 10,000 vested RSUs into shares of the Issuer's Common Stock, as permitted by the Plan and approved by the Committee. The conversion of 10,000 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 12,500 RSUs granted to the Reporting Person on February 17, 2021. Of the 12,500 RSUs awarded to the Reporting Person, 2,500 RSUs vested immediately as of the grant date, with the remaining 10,000 RSUs eligible to vest in four quarterly installments after the grant date. /s/ Hannah Cho 2021-12-07