Megan M. Brooks - 05 Nov 2021 Form 4 Insider Report for Riot Blockchain, Inc. (RIOT)

Role
Chief Operating Officer
Signature
/s/ Megan M. Brooks
Issuer symbol
RIOT
Transactions as of
05 Nov 2021
Net transactions value
$0
Form type
4
Filing time
08 Nov 2021, 15:50:19 UTC
Previous filing
16 Aug 2021
Next filing
07 Dec 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RIOT Restricted Stock Units Award $0 +6,000 +15% $0.000000 45,333 05 Nov 2021 Common Stock 6,000 $0.000000 Direct F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (the "Plan") covert into shares of the Issuer's Common Stock on a one-for-one basis upon settlement by the Issuer in accordance with the procedures of the Plan.
F2 On November 5, 2021, the Reporting Person was granted an award of 6,000 RSUs under the Plan pursuant to an equity award agreement between the Issuer and the Reporting Person (the "Award Agreement") dated effective as of that date. Subject to the terms and conditions set forth in the Award Agreement, these 6,000 RSUs are eligible to vest in four equal quarterly installments commencing on January 1, 2022.
F3 Represents the total direct and indirect beneficial ownership of the security held by the Reporting Person immediately following the issuance reported by this Form 4.