Form 4 for RIOT Riot Platforms, Inc.
Accepted 2021-12-07 00:00:00 ET · period of report 2021-12-06 · accession 0001079973-21-001211 · 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 | D'Ambrosio Lance Varro | Dir | M - OptEx | $0.00 | +5,000 | 5,000 | New | $0 |
| D | 2021-12-07 | 2021-12-06 | RIOT | D'Ambrosio Lance Varro | Dir | M - OptEx | $0.00 | +5,000 | 7,500 | +200% | $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 | M | A | 5,000 | $0.00 | 5,000 | 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 ownership of the indicated security held by the Reporting Person immediately following the reported ansaction. |
| 2 | Derivative | Restricted Stock Units | 2021-12-06 | M | A | 5,000 | $0.00 | 7,500 | D | $0.00 · — to — | 5,000 Common Stock | (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 ownership of the indicated security held by the Reporting Person immediately following the reported ansaction. (F3) The conversion of 5,000 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 12,500 RSUs granted under the Plan to the Reporting Person on May 28, 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. |