InsiderTrades

Form 4 for RIOT Riot Platforms, Inc.

Accepted 2022-07-21 00:00:00 ET · period of report 2022-07-19 · accession 0001079973-22-000878 · 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 2022-07-21 2022-07-19 RIOT Harris Chad Everett EVP, CCO M - OptEx $0.00 +28.5K 83.4K +52% $0
DM 2022-07-21 2022-07-19 RIOT Harris Chad Everett EVP, CCO F - Tax $5.57 -8,546 75.6K -10% -$47.6K
DM 2022-07-21 2022-07-19 RIOT Harris Chad Everett EVP, CCO M - OptEx $0.00 -28.5K 26.0K -52% $0

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2022-07-19 M A 2,488 $0.00 58,111 D — — (F1) Pursuant to the Riot Blockchain Inc. 2019 Equity Incentive Plan, as amended (the "Equity Plan") each service-based restricted stock unit ("RSUs") and each performance-based restricted stock units ("PSUs) represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") following vesting and settlement by the Issuer. Under the Equity Plan, the Issuer may elect to satisfy any tax withholding obligations due in connection with the conversion of vested RSUs and PSUs via net settlement of the vested award by withholding shares of Common Stock to cover the tax due, as permitted under the Equity Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"). (F2) Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.
2 Common Common Stock 2022-07-19 F D 746 $5.57 57,365 D — — (F3) Represents net settlement for taxes due in connection with the conversion reported on the foregoing line of this report. (F2) Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.
3 Common Common Stock 2022-07-19 M A 26,000 $0.00 83,365 D — — (F1) Pursuant to the Riot Blockchain Inc. 2019 Equity Incentive Plan, as amended (the "Equity Plan") each service-based restricted stock unit ("RSUs") and each performance-based restricted stock units ("PSUs) represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") following vesting and settlement by the Issuer. Under the Equity Plan, the Issuer may elect to satisfy any tax withholding obligations due in connection with the conversion of vested RSUs and PSUs via net settlement of the vested award by withholding shares of Common Stock to cover the tax due, as permitted under the Equity Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"). (F2) Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.
4 Common Common Stock 2022-07-19 F D 7,800 $5.57 75,565 D — — (F3) Represents net settlement for taxes due in connection with the conversion reported on the foregoing line of this report. (F2) Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.
5 Derivative Restricted Stock Units 2022-07-19 M D 26,000 $0.00 0 D $0.00 · — to — 26,000 Common Stock (F1) Pursuant to the Riot Blockchain Inc. 2019 Equity Incentive Plan, as amended (the "Equity Plan") each service-based restricted stock unit ("RSUs") and each performance-based restricted stock units ("PSUs) represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") following vesting and settlement by the Issuer. Under the Equity Plan, the Issuer may elect to satisfy any tax withholding obligations due in connection with the conversion of vested RSUs and PSUs via net settlement of the vested award by withholding shares of Common Stock to cover the tax due, as permitted under the Equity Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"). (F2) Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. (F5) The conversion of 26,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the Reporting Person August 12, 2021 pursuant to the Reporting Person's Award Agreement, which vested upon the Committee's determination that performance criteria corresponding to the PSUs granted to the Reporting Person had been achieved.
6 Derivative Restricted Stock Units 2022-07-19 M D 2,488 $0.00 26,000 D $0.00 · — to — 2,488 Common Stock (F1) Pursuant to the Riot Blockchain Inc. 2019 Equity Incentive Plan, as amended (the "Equity Plan") each service-based restricted stock unit ("RSUs") and each performance-based restricted stock units ("PSUs) represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") following vesting and settlement by the Issuer. Under the Equity Plan, the Issuer may elect to satisfy any tax withholding obligations due in connection with the conversion of vested RSUs and PSUs via net settlement of the vested award by withholding shares of Common Stock to cover the tax due, as permitted under the Equity Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"). (F2) Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. (F4) The conversion of 2,488 vested RSUs reported in Table II relates to the settlement by the Issuer of the remaining unsettled portion of the 9,949 RSUs granted to the Reporting Person on May 26, 2021, which vested in four quarterly installments after the grant date.