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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 | (1) | (1) | Common Stock | (1) | 46,666 (1) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Les Jason C/O: RIOT BLOCKCHAIN, INC. 3855 AMBROSIA STREET, STE. 301 CASTLE ROCK, CO 80104 |
X | Chief Executive Officer |
/s/ Jason Les | 07/18/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | This amended Form 4 is being filed to correct an administrative error that resulted in an erroneous Form 4 being filed which incorrectly reported the Reporting Person's beneficial ownership following the July 13, 2022 vesting of 16,666 performance-based restricted stock units ("PSUs") previously awarded to the Reporting Person on August 12, 2021 under the Issuer's employee equity plan. There was only one transaction for the Reporting Person to report on July 15, 2022 - the vesting of 16,666 PSUs on July 13, 2022, the second Form 4 was filed in error, and the Reporting Person was not the beneficial owner of 50,416 restricted stock units of the Issuer following the reported transaction. Accordingly, this amended Form 4 is being filed solely to correctly report that, immediately following the vesting of 16,666 PSUs as of July 13, 2022, the Reporting Person was the beneficial owner of 46,666 restricted stock units of the Issuer. |