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Riot Platforms, Inc. — Director's Dealing 2021
Feb 10, 2021
30793_dirs_2021-02-10_33f8cf23-7286-4c46-9639-1a60d9d7d172.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Riot Blockchain, Inc. (RIOT)
CIK: 0001167419
Period of Report: 2021-02-08
Reporting Person: MCGONEGAL JEFFREY (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-08 | Common Stock | M | 104895 | — | Acquired | 327336 | Direct |
| 2021-02-08 | Common Stock | F | 31469 | $23.36 | Disposed | 295867 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-08 | Restricted Stock Units | $0.00 | M | 104895 | Acquired | Common Stock (104895) | Direct | |
| 2021-02-08 | Restricted Stock Units | $0.00 | A | 20000 | Acquired | Common Stock (20000) | Direct |
Footnotes
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: Represents the total direct and indirect 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 104,895 vested RSUs, as permitted under the Plan.
F4: Pursuant to the Amended and Restated Executive Employment Agreement between the Reporting Person and the Issuer dated as of February 7, 2020 (the "2020 Employment Agreement"), the Reporting Person received an award of 209,790 RSUs under the Plan, which vested in four (4) equal quarterly installments pursuant to and during the term of the 2020 Employment Agreement.
F5: 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 Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 Employment Agreement.