Riot Platforms, Inc. — Director's Dealing 2021

Jun 3, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Riot Blockchain, Inc. (RIOT)
CIK: 0001167419
Period of Report: 2021-06-01

Reporting Person: MCGONEGAL JEFFREY (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-01	Common Stock	M	5000	—	Acquired	300867	Direct
2021-06-01	Common Stock	F	1500	$27.13	Disposed	299367	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-01	Restricted Stock Units	$0.00	M	5000	Acquired		Common Stock (5000)	Direct

Footnotes

F1: Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (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: Represents the total direct and indirect beneficial ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4

F3: Represents net settlement for taxes in connection with the settlement of 5,000 vested RSUs, as permitted under the Plan.

F4: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 McGonegal Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan as equity compensation, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 McGonegal Employment Agreement.