4//SEC Filing
KAPLAN ANDREW J 4
Accession 0001567619-18-003076
CIK 0001167419other
Filed
Sep 23, 8:00 PM ET
Accepted
Sep 24, 8:45 PM ET
Size
8.4 KB
Accession
0001567619-18-003076
Insider Transaction Report
Form 4
KAPLAN ANDREW J
Director
Transactions
- Exercise/Conversion
Restricted Stock Unit
2018-09-20+12,000→ 12,000 total→ Common Stock (12,000 underlying) - Exercise/Conversion
Common Stock
2018-09-20+12,000→ 41,500 total
Footnotes (5)
- [F1]Represents the 12,000 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").
- [F2]Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.
- [F3]Includes: (i) an award of 12,000 RSUs granted on May 5, 2017, which award vests in 24 monthly increments beginning one month following the grant; (ii) an award of 10,000 RSUs granted on August 21, 2017, which award vests in 24 monthly increments beginning one month following the grant; (iii) an award of 7,500 RSUs granted on March 21, 2018, which award vested pursuant to the Plan; and (iv) an award of 12,000 RSUs granted on September 20, 2018, which award vested on the date of grant. Each of these restricted stock awards were granted by the Issuer in connection with the retention of the Reporting Person as a member of its Board of Directors.
- [F4]Not applicable.
- [F5]Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.
Documents
Issuer
Riot Blockchain, Inc.
CIK 0001167419
Entity typeother
Related Parties
1- filerCIK 0001582246
Filing Metadata
- Form type
- 4
- Filed
- Sep 23, 8:00 PM ET
- Accepted
- Sep 24, 8:45 PM ET
- Size
- 8.4 KB