Brooks Megan M. 4
4 · Riot Blockchain, Inc. · Filed Apr 22, 2022
Insider Transaction Report
Form 4
Brooks Megan M.
Chief Operating Officer
Transactions
- Exercise/Conversion
Restricted Stock Units
2022-04-20−1,500→ 99,500 totalExercise: $0.00→ Common Stock (1,500 underlying) - Tax Payment
Common Stock
2022-04-20$14.79/sh−450$6,656→ 101,662 total - Exercise/Conversion
Common Stock
2022-04-20+1,500→ 101,062 total - Exercise/Conversion
Common Stock
2022-04-20+1,500→ 102,112 total - Tax Payment
Common Stock
2022-04-20$14.79/sh−6,000$88,740→ 115,662 total - Tax Payment
Common Stock
2022-04-20$14.79/sh−450$6,656→ 100,612 total - Exercise/Conversion
Common Stock
2022-04-20+20,000→ 121,662 total - Exercise/Conversion
Restricted Stock Units
2022-04-20−1,500→ 98,000 totalExercise: $0.00→ Common Stock (1,500 underlying) - Exercise/Conversion
Restricted Stock Units
2022-04-20−20,000→ 78,000 totalExercise: $0.00→ Common Stock (20,000 underlying)
Footnotes (6)
- [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.
- [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.
- [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.
- [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.
- [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.