Key facts
- This page summarizes Chad Everett Harris's Form 4 filing for Riot Blockchain, Inc. (RIOT).
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 14 Oct 2021, 19:09.
Chad Everett Harris - 13 Oct 2021 Form 4 Insider Report for Riot Blockchain, Inc. (RIOT)
- Reporting relationship
- Officer
- Issuer ticker
- RIOT
- Reported as of
- 13 Oct 2021
- Net transaction value
- -$264,923
- SEC form
- 4
- Accepted by SEC
- 14 Oct 2021, 19:09:06 UTC
- Prior SEC filing
- 16 Aug 2021
- Next SEC filing
- 07 Dec 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Chad Harris
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Chad Everett Harris filed Form 4 for Riot Blockchain, Inc. (RIOT) on 14 Oct 2021.
Change
- Previous filing in this sequence was filed on 16 Aug 2021.
- Current net transaction value: -$264,923.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
RIOT
transaction
Common Stock
Options Exercise
- Transaction value
- $0
- Shares
- +34,974
- Change %
- Price
- $0.000000
- Shares after
- 34,974
- Date
- 13 Oct 2021
- Ownership
- Direct
- Footnotes
- F1, F2
RIOT
transaction
Common Stock
Tax liability
- Transaction value
- $264,923
- Shares
- -10,492
- Change %
- -30%
- Price
- $25.25
- Shares after
- 24,482
- Date
- 13 Oct 2021
- Ownership
- Direct
- Footnotes
- F2, F3
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
RIOT
transaction
Derivative
Restricted Stock Units
Options Exercise
- Transaction value
- $0
- Shares
- -34,974
- Change %
- -88%
- Price
- $0.000000
- Shares after
- 4,975
- Date
- 13 Oct 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 34,974
- Exercise price
- $0.000000
- Footnotes
- F2, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 4 footnotes
Footnote F1
Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.
Footnote F2
Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.
Footnote F3
Represents shares of Common Stock withheld for taxes in connection with the settlement by the Issuer following vesting of 4,974 RSUs and 30,000 PSUs previously granted to the Reporting Person under the Plan.
Footnote F4
The conversion of 4,974 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 9,949 RSUs granted to the Reporting Person on May 12, 2021, which are eligible to vest in four quarterly installments after the grant date. The conversion of the 30,000 vested PSUs reported in Table II relates to the settlement by the Issuer of vested PSUs awarded to the Reporting Person on August 12, 2021, which vested upon the Issuer's attainment of the specified performance objectives corresponding to 30,000 PRSUs under the Plan.
SEC remarks
The Reporting Person is the Chief Executive Officer of Whinstone US, Inc., a wholly owned subsidiary of Riot Blockchain, Inc.