Riot Platforms, Inc. — Director's Dealing 2018

Sep 24, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Riot Blockchain, Inc. (RIOT)
CIK: 0001167419
Period of Report: 2018-09-20

Reporting Person: KAPLAN ANDREW J (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-09-20	Common Stock	M	12000	$0.00	Acquired	41500	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-09-20	Restricted Stock Unit	$	M	12000	Acquired		Common Stock (12000)	Direct

Footnotes

F1: Represents the 12,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").

F2: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F3: Includes: (i) an award of 12,000 RSUs granted on May 5, 2017, which award vests in 24 monthly increments beginning one month following the grant; (ii) an award of 10,000 RSUs granted on August 21, 2017, which award vests in 24 monthly increments beginning one month following the grant; (iii) an award of 7,500 RSUs granted on March 21, 2018, which award vested pursuant to the Plan; and (iv) an award of 12,000 RSUs granted on September 20, 2018, which award vested on the date of grant. Each of these restricted stock awards were granted by the Issuer in connection with the retention of the Reporting Person as a member of its Board of Directors.

F4: Not applicable.

F5: Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.