Form 4 for RIOT Riot Platforms, Inc.
Accepted 2021-12-07 00:00:00 ET · period of report 2021-12-06 · accession 0001079973-21-001210 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-12-07 | 2021-12-06 | RIOT | Cho Hannah | Dir | F - Tax | $28.64 | -5,000 | 5,000 | -50% | -$143.2K |
| D | 2021-12-07 | 2021-12-06 | RIOT | Cho Hannah | Dir | M - OptEx | $0.00 | +10.0K | 10.0K | New | $0 |
| D | 2021-12-07 | 2021-12-06 | RIOT | Cho Hannah | Dir | A - Grant | $0.00 | +10.0K | 2,500 | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-12-06 | F | D | 5,000 | $28.64 | 5,000 | D | — | — | (F3) Represents net settlement in connection with the conversion of 10,000 vested RSUs into shares of the Issuer's Common Stock, as permitted by the Plan and approved by the Committee. (F2) 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. |
| 2 | Common | Common Stock | 2021-12-06 | M | A | 10,000 | $0.00 | 10,000 | D | — | — | (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, no par value per share, (the "Common Stock") on a one-for-one basis, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee") 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 issuance reported by this Form 4. |
| 3 | Derivative | Restricted Stock Units | 2021-12-06 | A | A | 10,000 | $0.00 | 2,500 | D | $0.00 · — to — | 10,000 Common Stock | (F4) The conversion of 10,000 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 12,500 RSUs granted to the Reporting Person on February 17, 2021. Of the 12,500 RSUs awarded to the Reporting Person, 2,500 RSUs vested immediately as of the grant date, with the remaining 10,000 RSUs eligible to vest in four quarterly installments after the grant date. (F3) Represents net settlement in connection with the conversion of 10,000 vested RSUs into shares of the Issuer's Common Stock, as permitted by the Plan and approved by the Committee. (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, no par value per share, (the "Common Stock") on a one-for-one basis, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee") upon settlement by the Issuer in accordance with the procedures of the Plan. |