| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/27/2018 | 3. Issuer Name and Ticker or Trading Symbol Riot Blockchain, Inc. [ RIOT ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 02/13/2018 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 0(1) | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Option | (2) | (2) | Common Stock | 0(2) | (2) | D | |
| Explanation of Responses: |
| 1. This amendment on Form 3/A is being filed because the related Form 3 contained errors. Table I of the Form 3 disclosed that the reporting person had been granted a restricted share award under the Riot Blockchain, Inc. Amended & Restated Equity Incentive Plan (the "Plan") of 50,000 shares of the common stock of Riot Blockchain, Inc. (the "Issuer"), to vest in 24 equal monthly installments. That disclosure was based upon the reporting person's employment agreement with the Issuer, which provided that the restricted share award would be granted following the effective date of the employment agreement. The reporting person recently discovered that the grant was not made on the previously-reported date. |
| 2. Table II of the Form 3 to which this amendment relates disclosed that the reporting person had been granted an option award under the Plan to purchase 50,000 shares of the Issuer's common stock at an exercise price of $18.50 per share, to vest in 12 equal monthly installments. That disclosure was based upon the reporting person's employment agreement with the Issuer, which provided that the option would be granted following the effective date of the employment agreement. The reporting person recently discovered that the option was not granted. |
| /s/ Christopher Ensey | 03/14/2019 | |
| ** 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 5 (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 Number. | ||
