Megan M. Brooks - Nov 5, 2021 Form 4 Insider Report for Riot Blockchain, Inc. (RIOT)

Role
Chief Operating Officer
Signature
/s/ Megan M. Brooks
Stock symbol
RIOT
Transactions as of
Nov 5, 2021
Transactions value $
$0
Form type
4
Date filed
11/8/2021, 03:50 PM
Previous filing
Aug 16, 2021
Next filing
Dec 7, 2021

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 +6K +15.25% $0.00 45.3K Nov 5, 2021 Common Stock 6K $0.00 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.