IPO registrations (S-1, F-1) · Registrants
Riot Platforms, Inc.
- SEC CIK
- 1167419 · filings on EDGAR ↗
- Name on the registration
- Venaxis, Inc.
- Former names
- Riot Blockchain, Inc. (2017–2022); Bioptix, Inc. (2016–2017); Venaxis, Inc. (2012–2016); AspenBio Pharma, Inc. (2005–2012); ASPENBIO INC (2002–2005)
- Registration
- Form S-1, first filed 2002-04-12, last 2013-05-23; 3 initial registrations, 7 amendments
- Outcome
- Final prospectus filed 2012-06-20; declared effective 2006-11-06
- Industry (SIC)
- Finance Services 6199
- Incorporated in
- NV
- Business address
- 85 RIO GRANDE DRIVE, SUITE 200, Castle Rock, CO 80104
- EIN
- 84-1553387
- Ticker
- RIOT (Nasdaq)
- EDGAR entity type
- operating
- Insiders and CEO pay
- Riot Platforms, Inc. on the corporate pages
Offering terms
- Final price
- $2.00 per share (424B4 filed 2012-06-20, an initial public offering)
- Shares sold
- 6,100,000
- Gross proceeds
- $12,200,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol APPY
- Lead underwriters
- Aegis Capital
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: RIOT BLOCKCHAIN, INC. EXACT (EIN (EXACT, as the state registration reports it))
- Business registration: Riot Platforms, Inc. Fuzzy (name and state)
- Business registration: RIOT PLATFORMS, INC. Fuzzy (name and state)
- Form 5500 plan sponsor: RIOT PLATFORMS, INC. EXACT (EIN (EXACT))
- Form D issuer: Riot Blockchain, Inc. EXACT (CIK (EXACT))
- Lobbying client: RIOT PLATFORMS, INC Fuzzy (name and state)
- Lobbying client: RIOT PLATFORMS, INC. Fuzzy (name and state)
- Lobbying client: RIOT PLATFORMS, INC. Fuzzy (name and state)
- Lobbying registrant: RIOT PLATFORMS, INC. Fuzzy (name and state)
- SEC filer: AspenBio Pharma, Inc. EXACT (CIK (EXACT))
- Person page: Brian E Peierls Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: E Jeffrey Peierls Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
Filings 24
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2002-04-12 | S-1 | S-1 (registration) | ASPENBIO INC | 0000950134-02-003703 ↗ |
| 2002-06-06 | S-1/A | S-1/A (amendment) | ASPENBIO INC | 0000950134-02-006833 ↗ |
| 2002-07-08 | S-1/A | S-1/A (amendment) | ASPENBIO INC | 0001035704-02-000355 ↗ |
| 2002-08-09 | S-1/A | S-1/A (amendment) | ASPENBIO INC | 0001035704-02-000421 ↗ |
| 2006-11-06 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-06-002182 ↗ |
| 2006-11-06 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-06-002187 ↗ |
| 2006-11-09 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-06-002284 ↗ |
| 2007-08-09 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-07-003216 ↗ |
| 2008-01-31 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-08-000381 ↗ |
| 2009-06-04 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-09-001595 ↗ |
| 2011-07-27 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-11-002292 ↗ |
| 2012-04-12 | S-1 | S-1 (registration) | AspenBio Pharma, Inc. | 0001079973-12-000259 ↗ |
| 2012-05-25 | S-1/A | S-1/A (amendment) | AspenBio Pharma, Inc. | 0001144204-12-032045 ↗ |
| 2012-05-29 | S-1/A | S-1/A (amendment) | AspenBio Pharma, Inc. | 0001144204-12-032072 ↗ |
| 2012-06-19 | EFFECT | EFFECT (declared effective) | AspenBio Pharma, Inc. | 9999999995-12-001870 ↗ |
| 2012-06-20 | 424B4 | 424B4 (final prospectus) | AspenBio Pharma, Inc. | 0001144204-12-035632 ↗ |
| 2013-05-09 | S-1 | S-1 (registration) | Venaxis, Inc. | 0001144204-13-027528 ↗ |
| 2013-05-20 | S-1/A | S-1/A (amendment) | Venaxis, Inc. | 0001144204-13-030288 ↗ |
| 2013-05-23 | S-1/A | S-1/A (amendment) | Venaxis, Inc. | 0001144204-13-031197 ↗ |
| 2013-05-23 | EFFECT | EFFECT (declared effective) | Venaxis, Inc. | 9999999995-13-001633 ↗ |
| 2013-05-24 | 424B4 | 424B4 (final prospectus) | Venaxis, Inc. | 0001144204-13-031443 ↗ |
| 2013-11-18 | EFFECT | EFFECT (declared effective) | Venaxis, Inc. | 9999999995-13-003302 ↗ |
| 2014-04-08 | EFFECT | EFFECT (declared effective) | Venaxis, Inc. | 9999999995-14-000898 ↗ |
| 2015-01-22 | EFFECT | EFFECT (declared effective) | Venaxis, Inc. | 9999999995-15-000176 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2012-05-29 | S-1/A | registration statement | $45.03 | - | - | Nasdaq APPY | 1 | primary document; price line, cover names 1 | document ↗ | |
| 2012-06-20 | 424B4 | final prospectus | $2.00 | 6,100,000 | $12,200,000 | Nasdaq APPY | 1 | primary document; price sentence, shares headline, proceeds table, cover names 1 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Donnelly Richard G | Director,Officer | President & CEO | 18 | 2006–2009 | |
| SCHOETTLER GAIL | Director | 15 | 2006–2016 | ||
| Talon Opportunity Managers, L.L.C. | TenPercentOwner | 1 | 2006 | ||
| Talon Opportunity Partners, L.P. | TenPercentOwner | 1 | 2006 | ||
| HEPLER DOUGLAS I | Director | 28 | 2006–2012 | ||
| WELCH DAVID E | Director | 12 | 2006–2016 | ||
| HURST ROGER | TenPercentOwner | 8 | 2006 | ||
| Roaring Fork Capital SBIC, L.P. | TenPercentOwner | 6 | 2006 | ||
| 1837 Partners L.P. | TenPercentOwner | 25 | 2006–2007 | ||
| 1837 RMB Managers L.L.C. | TenPercentOwner | 26 | 2006–2007 | ||
| MCGONEGAL JEFFREY | Officer | CFO (Former - See Remarks); Chief Executive Officer; Chief Financial Officer; Senior Advisor | 35 | 2006–2023 | |
| PUSEY GREGORY | Director; Director,Officer; DirectorOther; Officer | Chairman; Vice Chair; Vice President; VP, Investor Relations | 19 | 2006–2012 | |
| 1837 Partners QP L.P. | TenPercentOwner | 22 | 2006–2007 | ||
| Peierls Brian E | TenPercentOwner | 1 | 2007 | person page Fuzzy | |
| PEIERLS E JEFFREY | TenPercentOwner | 1 | 2007 | person page Fuzzy | |
| Peierls Foundation, Inc. | TenPercentOwner | 1 | 2007 | ||
| 1837 Partners Ltd. | TenPercentOwner | 19 | 2007 | ||
| RATAIN MARK J | Director | 5 | 2008–2012 | ||
| Merson Michael R | Director | 8 | 2008–2012 | ||
| LANDON JOHN H | Director | 9 | 2008–2015 | ||
| FAULKNER DARYL | Director; Director,Officer | CEO and Executive Chairman; Executive Chairman | 10 | 2009–2016 | |
| CASPARI ROBERT FREDERICK | Officer | COO & Chief Medical Officer | 3 | 2009–2010 | |
| Colgin Mark | Officer | Chief Scientific Officer | 3 | 2009–2011 | |
| Bennett Gregory L | Officer | SVP - Manufacturing & Prod Dev; SVP Manufacturing & Prod Dev | 4 | 2010–2011 | |
| Lundy Stephen T. | Director,Officer | CEO and President; President and CEO; President, CEO | 13 | 2010–2017 | |
| Miller Erik | Officer | VP Marketing & Bus Development | 3 | 2011–2012 | |
| Hurd Donald R | Officer | SVP & Chief Commercial Officer; SVP, Chief Commerical Officer | 9 | 2012–2015 | |
| Evans Susan A | Director | 6 | 2013–2016 | ||
| Williams Stephen Alaric | Director | 5 | 2013–2016 | ||
| Honig Barry C | TenPercentOwner | 4 | 2016–2017 | ||
| Whitcomb Richard J. | Officer | Senior Vice President | 2 | 2016 | |
| Beeghley Michael Martin | Director; Director,Officer; Other | Chief Executive Officer | 7 | 2016–2017 | |
| ROUTH MICHAEL W | Director | 2 | 2016 | ||
| Dai Mike | Director | 3 | 2017 | ||
| O'Rourke John R. III | Director; Director,Officer | President, CEO, Chairman | 6 | 2017 | |
| KAPLAN ANDREW J | Director | 4 | 2017–2018 | ||
| So Eric | Director | 1 | 2017 | ||
| Les Jason | Director; Director,Officer; Officer | CEO; Chief Executive Officer; CHIEF EXECUTIVE OFFICER | 43 | 2017–2026 | |
| Robertsen Daniel Stefan | Officer | President of subsidiary | 1 | 2018 | |
| Ensey Christopher | Officer | Chief Operating Officer; Interim CEO | 4 | 2018–2019 | |
| Mancini Remo | Director | 7 | 2018–2020 | ||
| Chang Robby Sai Kit | Officer | Chief Financial Officer | 2 | 2018 | |
| Yi Soo il Benjamin | Director; Director,Officer | Executive Chairman; EXECUTIVE CHAIRMAN | 22 | 2018–2026 | |
| Marleau Hubert | Director | 17 | 2020–2025 | ||
| Cho Hannah | Director | 16 | 2021–2025 | ||
| Brooks Megan M. | Officer | Chief Operating Officer; [See remarks]; [See Remarks] | 14 | 2021–2022 | |
| Northern Data AG | TenPercentOwner | 3 | 2021 | ||
| D'Ambrosio Lance Varro | Director | 20 | 2021–2026 | ||
| Harris Chad Everett | Officer | EVP, CCO; EVP, CCO (See Remarks); see Remarks; See Remarks; (SEE REMARKS); Subsidiary Officer See Remarks | 13 | 2021–2023 | |
| Theriot Lyle Joseph | Officer | see Remarks; See Remarks; Subsidiary Officer See Remarks | 8 | 2021–2022 | |
| Jackman William Richard | Officer | CHIEF LEGAL OFFICER (CLO); EVP & General Counsel; EVP, GENERAL COUNSEL; General Counsel | 22 | 2021–2026 | |
| Werner Ryan D. | Officer | SVP, CAO; SVP & CAO (See Remarks); SVP, CAO (See Remarks) | 23 | 2022–2026 | |
| Yee Colin M. | Officer; Other | CFO; Chief Financial Officer; EVP, CFO | 12 | 2022–2026 | |
| Chung Jason | Officer | EVP, CORP DEV; EVP, CORP DEV (SEE REMARKS) | 6 | 2023–2026 | |
| Howell Stephen Mitchell Jr. | Officer | COO; COO (See Remarks) | 8 | 2024–2026 | |
| Leverton Jaime | Director | 5 | 2025–2026 | ||
| Mouton Douglas | Director | 5 | 2025–2026 | ||
| Turner Michael John | Director | 4 | 2025–2026 | ||
| Gibbs Jonathan | Officer | CDCO; CDCO (See Remarks) | 5 | 2025–2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2019-02-12 | Riot Blockchain, Inc. | Other Technology | $7,060,132 | $7,060,132 | 3 | 1 |
| 2017-12-27 | Riot Blockchain, Inc. | Other | $37,037,528 | $37,037,528 | 32 | 1 |
| 2017-03-22 | Bioptix, Inc. | Biotechnology | $2,250,000 | $2,250,000 | 6 | 1 |
| 2017-03-22 | Bioptix, Inc. | Biotechnology | $4,750,000 | $4,750,000 | 10 | 1 |
| 2016-09-15 | Venaxis, Inc. | Other Health Care | $1,950,000 | $1,950,000 | 17 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | Riot Platforms, Inc. | CO | State business registries | name and state |
| Business registration | RIOT PLATFORMS, INC. | CO | State business registries | name and state |
| Plan sponsor | RIOT PLATFORMS, INC. | CO | Form 5500 (employee benefit plans) | EIN (EXACT) |
| Form D issuer | Riot Blockchain, Inc. | CO | Form D private offerings | CIK (EXACT) |
| Lobbying client | RIOT PLATFORMS, INC | CO | Federal lobbying (LDA) | name and state |
| Lobbying client | RIOT PLATFORMS, INC. | CO | Federal lobbying (LDA) | name and state |
| Lobbying client | RIOT PLATFORMS, INC. | CO | Federal lobbying (LDA) | name and state |
| Lobbying registrant | RIOT PLATFORMS, INC. | CO | Federal lobbying (LDA) | name and state |
| SEC filer | Riot Platforms, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Riot Platforms, Inc. | CO | Trademarks (USPTO) | name and state |
| Business registration | RIOT BLOCKCHAIN, INC. | State business registries | EIN (EXACT, as the state registration reports it) | |
| Form 5500 plan sponsor | RIOT PLATFORMS, INC. | EIN (EXACT) | ||
| Person page | Brian E Peierls | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) | |
| Person page | E Jeffrey Peierls | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.