4//SEC Filing
MCGONEGAL JEFFREY 4
Accession 0001079973-22-000616
CIK 0001167419other
Filed
May 18, 8:00 PM ET
Accepted
May 19, 5:31 PM ET
Size
16.0 KB
Accession
0001079973-22-000616
Insider Transaction Report
Form 4
MCGONEGAL JEFFREY
Chief Financial Officer
Transactions
- Exercise/Conversion
Common Stock
2022-05-17+10,000→ 301,513 total - Tax Payment
Common Stock
2022-05-17$7.97/sh−4,100$32,677→ 297,413 total - Exercise/Conversion
Common Stock
2022-05-17+68,000→ 365,413 total - Tax Payment
Common Stock
2022-05-17$7.97/sh−27,880$222,204→ 337,533 total - Exercise/Conversion
Restricted Stock Units
2022-05-17−10,000→ 0 totalExercise: $0.00→ Common Stock (10,000 underlying) - Exercise/Conversion
Resctricted Stock Units
2022-05-17−68,000→ 0 totalExercise: $0.00→ Common Stock (68,000 underlying)
Footnotes (6)
- [F1]Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSU") and performance-based restrictive stock unit ("PSU") 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 indicated security held by the Reporting Person immediately following the reported transaction.
- [F3]Represents net settlement for taxes due in connection with the conversion of 10,000 vested RSUs 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 net settlement for taxes due in connection with the conversion of 68,000 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.
- [F5]The conversion of 10,000 RSUs reported in Table II represents the settling of the vested portion of the 20,000 RSUs awarded to the Reporting Person by the Issuer on February 8, 2021 pursuant to the terms of the executive employment agreement between the Issuer and the Reporting Person, dated effective as of the grant date, which vested in four equal quarterly installments following the grant date.
- [F6]The conversion of 68,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the reporting person on August 12, 2021 pursuant to the Award Agreement.
Documents
Issuer
Riot Blockchain, Inc.
CIK 0001167419
Entity typeother
Related Parties
1- filerCIK 0001187604
Filing Metadata
- Form type
- 4
- Filed
- May 18, 8:00 PM ET
- Accepted
- May 19, 5:31 PM ET
- Size
- 16.0 KB