Form 4 for RIOT Riot Platforms, Inc.
Accepted 2022-04-22 00:00:00 ET · period of report 2022-04-20 · accession 0001079973-22-000483 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-04-22 | 2022-04-20 | RIOT | Brooks Megan M. | [See remarks] | F - Tax | $14.79 | -6,900 | 101.7K | -6% | -$102.1K |
| DM | 2022-04-22 | 2022-04-20 | RIOT | Brooks Megan M. | [See remarks] | M - OptEx | $0.00 | +23.0K | 101.1K | +29% | $0 |
| DM | 2022-04-22 | 2022-04-20 | RIOT | Brooks Megan M. | [See remarks] | M - OptEx | $0.00 | -23.0K | 98.0K | -19% | $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 | 2022-04-20 | F | D | 6,000 | $14.79 | 115,662 | D | — | — | (F3) Represents net settlement for taxes due in connection with the conversion of 3,000 vested RSUs and 20,000 vested PSUs into shares of the Issuer's Common Stock upon settlement by the Issuer, 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 | 2022-04-20 | M | A | 20,000 | $0.00 | 121,662 | D | — | — | (F1) Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSUs") and each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. (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 | Common | Common Stock | 2022-04-20 | M | A | 1,500 | $0.00 | 102,112 | D | — | — | (F1) Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSUs") and each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. (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. |
| 4 | Common | Common Stock | 2022-04-20 | F | D | 450 | $14.79 | 100,612 | D | — | — | (F3) Represents net settlement for taxes due in connection with the conversion of 3,000 vested RSUs and 20,000 vested PSUs into shares of the Issuer's Common Stock upon settlement by the Issuer, 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. |
| 5 | Common | Common Stock | 2022-04-20 | M | A | 1,500 | $0.00 | 101,062 | D | — | — | (F1) Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSUs") and each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. (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. |
| 6 | Common | Common Stock | 2022-04-20 | F | D | 450 | $14.79 | 101,662 | D | — | — | (F3) Represents net settlement for taxes due in connection with the conversion of 3,000 vested RSUs and 20,000 vested PSUs into shares of the Issuer's Common Stock upon settlement by the Issuer, 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. |
| 7 | Derivative | Restricted Stock Units | 2022-04-20 | M | D | 1,500 | $0.00 | 99,500 | D | $0.00 · — to — | 1,500 Common Stock | (F1) Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSUs") and each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. (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. (F4) Represents the settlement by the Issuer of the final quarterly tranche of 1,500 RSUs of the 6,000 RSUs granted to the Reporting Person on April 6, 2021, which vested in four quarterly installments after the grant date. |
| 8 | Derivative | Restricted Stock Units | 2022-04-20 | M | D | 20,000 | $0.00 | 78,000 | D | $0.00 · — to — | 20,000 Common Stock | (F1) Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSUs") and each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. (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. (F6) Represents the settlement by the Issuer of the vested portion of the PSUs granted to the Reporting Person on August 12, 2021, as reported by the Form 4 filed by the Reporting Person on April 15, 2022. |
| 9 | Derivative | Restricted Stock Units | 2022-04-20 | M | D | 1,500 | $0.00 | 98,000 | D | $0.00 · — to — | 1,500 Common Stock | (F1) Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSUs") and each performance-based restricted stock unit ("PSUs") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. (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. (F5) Represents the settlement by the Issuer of the vested and unsettled portion of the 6,000 RSUs granted to the Reporting Person on November 5, 2021, which vested in four quarterly installments after the grant date. |