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: Chang Robby Sai Kit (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-09-20	Common Stock	M	12000	$0.00	Acquired	72000	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 to the Reporting Person by the Issuer under the Plan at no cost as employment incentive on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F3: Includes an award of 60,000 RSUs granted on February 27, 2018 in connection with the Reporting Person's appointment as Chief Financial Officer, which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance.

F4: Not applicable.

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