Amended Statement of Changes in Beneficial Ownership (4/a)
March 15 2019 - 9:37AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Ensey Christopher
|
2. Issuer Name
and
Ticker or Trading Symbol
Riot Blockchain, Inc.
[
RIOT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Interim CEO
|
(Last)
(First)
(Middle)
2307 NE 12TH ST.
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/20/2018
|
(Street)
FT. LAUDERDALE, FL 33304
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/24/2018
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
9/20/2018
(1)
|
|
M
(1)
|
|
0
(1)
|
A
|
$0
(1)
|
0
(1)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Restricted Stock Unit
|
(1)
|
9/20/2018
(1)
|
|
M
(1)
|
|
|
0
(1)
|
(1)
|
(1)
|
Common Stock
|
0
(1)
|
$0
(1)
|
0
(1)
|
D
|
|
Explanation of Responses:
|
(1)
|
This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Ensey Christopher
2307 NE 12TH ST.
FT. LAUDERDALE, FL 33304
|
|
|
Interim CEO
|
|
Signatures
|
/s/ Christopher Ensey
|
|
3/14/2019
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Riot Platforms (NASDAQ:RIOT)
Historical Stock Chart
From Mar 2024 to Apr 2024
Riot Platforms (NASDAQ:RIOT)
Historical Stock Chart
From Apr 2023 to Apr 2024