RIOT

SEC source: 0001079973-20-000423 · ownership.xml · nonDerivative · entry 1

YI SOO IL BENJAMIN · CIK 0001757880 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,090

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units convert into shares of Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer.

SEC source: 0001079973-20-000421 · ownership.xml · derivative · entry 2

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 471,544

Underlying: Common Stock, no par value · 819,548 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into shares of Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer.

F2 · derivative.exercise_date: On December 16, 2019, the Reporting Person was granted 819,548 RSUs pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, 100% of which vested on March 31, 2020.

F2 · derivative.expiration_date: On December 16, 2019, the Reporting Person was granted 819,548 RSUs pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, 100% of which vested on March 31, 2020.

SEC source: 0001079973-20-000421 · ownership.xml · nonDerivative · entry 1

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 896,048

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units convert into shares of Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer.

SEC source: 0001079973-20-000419 · ownership.xml · derivative · entry 3

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,617

Underlying: Common Stock, no par value · 368,120 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units convert into shares of Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer.

F1 · price: Restricted Stock Units convert into shares of Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer.

F3 · derivative.exercise_date: On December 16, 2019, the Reporting Person was granted 368,120 RSUs pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, 100% of which vested on March 31, 2020.

F3 · derivative.expiration_date: On December 16, 2019, the Reporting Person was granted 368,120 RSUs pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, 100% of which vested on March 31, 2020.

SEC source: 0001079973-20-000419 · ownership.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,902

F2 · shares: Represents net settlement for taxes in connection with the settlement of vested Restricted Stock Units.

SEC source: 0001079973-20-000419 · ownership.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,120

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units convert into shares of Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer.

SEC source: 0001079973-20-000142 · ownership.xml · derivative · entry 1

YI SOO IL BENJAMIN · CIK 0001757880 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,732

Underlying: Common Stock · 227,642 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer approved the grant of 227,642 restricted stock units pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan to the Reporting Person as compensation for the services performed and to be performed for the Issuer as a member of its Board of Directors in 2020.

F2 · derivative.exercise_date: The restricted stock units vest on March 1, 2021. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain Inc., 2019 Equity Incentive Plan.

F2 · derivative.expiration_date: The restricted stock units vest on March 1, 2021. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain Inc., 2019 Equity Incentive Plan.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the issuance reported by this Form 4.

SEC source: 0001079973-20-000141 · ownership.xml · derivative · entry 1

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,367,592

Underlying: Common Stock · 471,544 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer approved the grant of 471,544 restricted stock units pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan to the Reporting Person as compensation for the services performed and to be performed for the Issuer as Chairman of its Board of Directors in 2020.

F2 · derivative.exercise_date: The restricted stock units vest on March 1, 2021. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain Inc., 2019 Equity Incentive Plan.

F2 · derivative.expiration_date: The restricted stock units vest on March 1, 2021. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain Inc., 2019 Equity Incentive Plan.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the issuance reported by this Form 4.

SEC source: 0001079973-20-000139 · ownership.xml · derivative · entry 1

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 698,737

Underlying: Common Stock · 288,617 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer approved the grant of 288,617 restricted stock units pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan to the Reporting Person as compensation for the services performed and to be performed for the Issuer as a member of its Board of Directors in 2020.

F2 · derivative.exercise_date: The restricted stock units vest on March 1, 2021. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain Inc., 2019 Equity Incentive Plan.

F2 · derivative.expiration_date: The restricted stock units vest on March 1, 2021. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain Inc., 2019 Equity Incentive Plan.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the issuance reported by this Form 4.

SEC source: 0001079973-20-000097 · ownership.xml · derivative · entry 2

MCGONEGAL JEFFREY · CIK 0001187604 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,868

Underlying: Common Stock · 209,790 shares

Expires not disclosed

F4 · derivative.exercise_price: The Issuer approved the grant of 209,790 restricted stock units pursuant to the Plan to the Reporting Person as compensation for services performed for the Issuer as the Chief Executive Officer of the Issuer as detailed in the Amended and Restated Executive Employment Agreement by and between the Reporting Person and the Issuer dated as of February 7, 2020 (the "Employment Agreement").

F5 · derivative.exercise_date: The restricted stock units vest in 4 equal quarterly installments throughout the term of the Employment Agreement, subject to the terms and conditions of the Employment Agreement. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the Plan.

F5 · derivative.expiration_date: The restricted stock units vest in 4 equal quarterly installments throughout the term of the Employment Agreement, subject to the terms and conditions of the Employment Agreement. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the Plan.

SEC source: 0001079973-20-000097 · ownership.xml · nonDerivative · entry 1

MCGONEGAL JEFFREY · CIK 0001187604 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,078

F1 · shares: The Reporting Person was issued 122,377 shares of the Common Stock (the "Shares") of Riot Blockchain, Inc. ("Riot" or the "Issuer"), as compensation for services rendered for the year ended February 6, 2020 as Chief Executive Officer and acting Chief Financial Officer of Riot pursuant to the terms of the Executive Employment Agreement entered into by and between the Reporting Person and Riot on February 5, 2019, as previously reported by Riot on its current report on Form 8-K filed on February 11, 2019. The grant of the Shares was approved by the Board of Directors of Riot on February 6, 2020 and the Shares were issued pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan (the "Plan").

F2 · price: Compensation for services as officer.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the settlement reported by this Form 4.

SEC source: 0001079973-19-000653 · ownership.xml · derivative · entry 1

YI SOO IL BENJAMIN · CIK 0001757880 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,090

Underlying: Common Stock · 276,090 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer approved the grant of 276,090 restricted stock units pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan to the Reporting Person as compensation for the services performed for the Issuer as a member of the Board during 2018 and 2019.

F2 · derivative.exercise_date: The restricted stock units vest on March 31, 2020. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain, Inc., 2019 Equity Incentive Plan.

F2 · derivative.expiration_date: The restricted stock units vest on March 31, 2020. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain, Inc., 2019 Equity Incentive Plan.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the issuance reported by this Form 4.

SEC source: 0001079973-19-000649 · ownership.xml · derivative · entry 1

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,120

Underlying: Common Stock · 368,120 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer approved the grant of 368,120 restricted stock units pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan to the Reporting Person as compensation for the services performed for the Issuer as a member of the Board during 2018 and 2019.

F2 · derivative.exercise_date: The restricted stock units vest on March 31, 2020. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain, Inc., 2019 Equity Incentive Plan.

F2 · derivative.expiration_date: The restricted stock units vest on March 31, 2020. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain, Inc., 2019 Equity Incentive Plan.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the issuance reported by this Form 4.

SEC source: 0001079973-19-000651 · ownership.xml · derivative · entry 1

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 896,048

Underlying: Common Stock · 819,548 shares

Expires not disclosed

F1 · derivative.exercise_price: The Issuer approved the grant of 819,549 restricted stock units pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan to the Reporting Person as compensation for the services performed for the Issuer as a Chairman of the Board during 2018 and 2019.

F2 · derivative.exercise_date: The restricted stock units vest on March 31, 2020. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain, Inc., 2019 Equity Incentive Plan.

F2 · derivative.expiration_date: The restricted stock units vest on March 31, 2020. Vested restricted stock units will be settled in shares of the Issuer's Common Stock on a one-for-one basis in accordance with the procedures of the Riot Blockchain, Inc., 2019 Equity Incentive Plan.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of Riot's securities held by the Reporting Person subsequent to the issuance reported by this Form 4.

SEC source: 0001567619-18-003079 · doc1.xml · derivative · entry 2

Ensey Christopher · CIK 0001730045 · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost on September 20, 2018 in connection with the Reporting Person's appointment as interim Chief Executive Officer, which award vested on the date of grant, subject to the restrictions of the Plan.

F2 · derivative.exercise_date: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost on September 20, 2018 in connection with the Reporting Person's appointment as interim Chief Executive Officer, which award vested on the date of grant, subject to the restrictions of the Plan.

F4 · derivative.expiration_date: Not applicable.

F5 · balance_after: Represents only the 24,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.

SEC source: 0001567619-18-003079 · doc1.xml · nonDerivative · entry 1

Ensey Christopher · CIK 0001730045 · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the 24,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").

F2 · shares: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost on September 20, 2018 in connection with the Reporting Person's appointment as interim Chief Executive Officer, which award vested on the date of grant, subject to the restrictions of the Plan.

F2 · price: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost on September 20, 2018 in connection with the Reporting Person's appointment as interim Chief Executive Officer, which award vested on the date of grant, subject to the restrictions of the Plan.

F3 · balance_after: Includes a restricted stock option award of the option to purchase 50,000 shares of Common Stock granted on January 27, 2018 in connection with the Reporting Person's appointment as Chief Operating Officer, which option shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance at an option price of $18.50 per share.

SEC source: 0001567619-18-003076 · doc1.xml · derivative · entry 2

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F2 · derivative.exercise_date: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F4 · derivative.expiration_date: Not applicable.

F5 · balance_after: Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.

SEC source: 0001567619-18-003076 · doc1.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the 12,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").

F2 · shares: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F2 · price: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F3 · balance_after: Includes: (i) an award of 12,000 RSUs granted on May 5, 2017, which award vests in 24 monthly increments beginning one month following the grant; (ii) an award of 10,000 RSUs granted on August 21, 2017, which award vests in 24 monthly increments beginning one month following the grant; (iii) an award of 7,500 RSUs granted on March 21, 2018, which award vested pursuant to the Plan; and (iv) an award of 12,000 RSUs granted on September 20, 2018, which award vested on the date of grant. Each of these restricted stock awards were granted by the Issuer in connection with the retention of the Reporting Person as a member of its Board of Directors.

SEC source: 0001567619-18-003078 · doc1.xml · derivative · entry 2

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F2 · derivative.exercise_date: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F4 · derivative.expiration_date: Not Applicable.

F5 · balance_after: Represents only the 24,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.

SEC source: 0001567619-18-003078 · doc1.xml · nonDerivative · entry 1

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the 24,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").

F2 · shares: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F2 · price: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F3 · balance_after: Includes awards of 52,500 RSUs granted on March 21, 2018 and February 23, 2018 in connection with the retention of the Reporting Person as Chairman of the Board of Directors of the Issuer, 100% of which have vested pursuant to the Plan.

SEC source: 0001567619-18-003077 · doc1.xml · derivative · entry 2

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F2 · derivative.exercise_date: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F4 · derivative.expiration_date: Not applicable.

F5 · balance_after: Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.

SEC source: 0001567619-18-003077 · doc1.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the 12,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").

F2 · shares: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F2 · price: Represents a restricted stock award granted under the Plan at no cost on September 20, 2018, which award vested on the date of the grant, subject to the restrictions of the Plan.

F3 · balance_after: Includes: (i) an award of 7,500 RSUs granted on November 3, 2017, which award vests in 24 monthly increments beginning one month following the grant; (ii) an award of 7,500 RSUs granted on March 21, 2018, which award vested pursuant to the Plan; and (iii) an award of 12,000 RSUs granted on September 20, 2018, which award vested on the date of grant. All of these restricted stock awards were granted by the Issuer in connection with the retention of the Reporting Person as a member of its Board of Directors.

SEC source: 0001567619-18-003075 · doc1.xml · derivative · entry 2

Chang Robby Sai Kit · CIK 0001732700 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost as employment incentive on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F2 · derivative.exercise_date: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost as employment incentive on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F4 · derivative.expiration_date: Not applicable.

F5 · balance_after: Represents only the 12,000 RSUs granted on September 20, 2018 and does not include RSUs previously reported.

SEC source: 0001567619-18-003075 · doc1.xml · nonDerivative · entry 1

Chang Robby Sai Kit · CIK 0001732700 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the 12,000 vested Restricted Stock Units ("RSUs") reported in Column 5 of Table I on page one above, convertible into shares of the Issuer's Common Stock on a one-for-one basis pursuant to the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Plan").

F2 · shares: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost as employment incentive on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F2 · price: Represents a restricted stock award granted to the Reporting Person by the Issuer under the Plan at no cost as employment incentive on September 20, 2018, which award vested on the date of grant, subject to the restrictions of the Plan.

F3 · balance_after: Includes an award of 60,000 RSUs granted on February 27, 2018 in connection with the Reporting Person's appointment as Chief Financial Officer, which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance.

SEC source: 0001014100-19-000007 · primary_doc.xml · derivative · entry 2

Ensey Christopher · CIK 0001730045 · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · date: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · kind: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · shares: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · price: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · derivative.exercise_date: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · derivative.expiration_date: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · derivative.underlying_shares: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · balance_after: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

SEC source: 0001014100-19-000007 · primary_doc.xml · nonDerivative · entry 1

Ensey Christopher · CIK 0001730045 · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · date: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · kind: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · shares: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · price: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

F1 · balance_after: This amendment on Form 4/A is being filed because the related Form 4 was filed in error. Table I and Table II of the Form 4 disclosed that 24,000 vested restricted stock units ("RSUs") had been converted into 24,000 shares of common stock of Riot Blockchain, Inc. (the "Issuer") on September 20, 2018. The reporting person's disclosure was based upon the Issuer's proposed disclosure of the RSU grant in a Current Report on Form 8-K, which was filed on September 26, 2018. The reporting person recently discovered that the grant was not made on the previously-reported date.

SEC source: 0001140361-18-014850 · doc1.xml · nonDerivative · entry 1

Mancini Remo · CIK 0001733104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

F1 · shares: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 6 equal monthly installments, beginning on the one month anniversary of the date of issuance.

F1 · price: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 6 equal monthly installments, beginning on the one month anniversary of the date of issuance.

F2 · balance_after: Includes restricted stock award of 45,000 shares granted on February 23, 2018, 50% of which vested on the date of grant and 50% of which will vest six months from the date of grant.

SEC source: 0001140361-18-014849 · doc1.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · shares: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 6 equal monthly installments, beginning on the one month anniversary of the date of issuance.

F1 · price: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 6 equal monthly installments, beginning on the one month anniversary of the date of issuance.

F2 · balance_after: Includes restricted stock award of 7,500 shares made on November 3, 2017 in connection with the Reporting Person's appointment as a Director of the Issuer, which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. Also includes 15,000 shares issued in connection with the Reporting Person serving on the Issuer's Advisory Board.

SEC source: 0001140361-18-014848 · doc1.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,500

F1 · shares: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 6 equal monthly installments, beginning on the one month anniversary of the date of issuance.

F1 · price: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 6 equal monthly installments, beginning on the one month anniversary of the date of issuance.

F2 · balance_after: Includes restricted stock award made August 21, 2017 of 10,000 shares shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance, and restricted stock award of 12,000 shares made on May 5, 2017, which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance.

SEC source: 0001140361-17-047827 · doc1.xml · nonDerivative · entry 2

O'Rourke John R. III · CIK 0001694931 · Director · President, CEO, Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,500

F2 · ownership.nature: Held by ATG Capital LLC ("ATG"). Reporting Person is the managing member and sole beneficiary of ATG and in such capacity holds voting and dispositive power over the securities held by ATG.

SEC source: 0001140361-17-047827 · doc1.xml · nonDerivative · entry 1

O'Rourke John R. III · CIK 0001694931 · Director · President, CEO, Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,500

F1 · balance_after: Includes shares vested or to be vested within 60 days.

SEC source: 0001140361-17-041046 · doc1.xml · derivative · entry 2

O'Rourke John R. III · CIK 0001694931 · Director · President, CEO, Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Common Stock · 100,000 shares

Expires 2027-11-03

F5 · price: Option Award is compensation for the Reporting Person's appointment as Chief Executive Officer of the Issuer.

F4 · derivative.exercise_date: Represents an option award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Option Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance, subject to shareholder approval.

F6 · balance_after: Includes options vested or to be vested within 60 days pursuant to the Option Award.

SEC source: 0001140361-17-041046 · doc1.xml · nonDerivative · entry 1

O'Rourke John R. III · CIK 0001694931 · Director · President, CEO, Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,750

F1 · shares: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's appointment as Chief Executive Officer of the Issuer.

F3 · balance_after: Includes shares vested or to be vested within 60 days pursuant to the Restricted Stock Award.

SEC source: 0001140361-17-041446 · doc1.xml · nonDerivative · entry 1

Beeghley Michael Martin · CIK 0001662216 · Former CEO, Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,918

F1 · shares: Represents a restricted stock award under the Riot Blockchain, Inc. (f/k/a Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which was awarded and immediately vested in connection with the Reporting Person's execution of a Separation Agreement.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's resignation as Chief Executive Officer of the Issuer.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-039183 · doc1.xml · derivative · entry 1

MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,428

Underlying: Common Stock · 21,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Under the terms of a Retention Agreement entered into as of June 30, 2017, Mr. McGonegal was provided a right to waive his rights to 21,000 outstanding stock options in exchange for a one-time lump-sum payment as defined in the Retention Agreement, which was paid on October 18, 2017 and totaled $100,013.

F1 · derivative.exercise_date: Under the terms of a Retention Agreement entered into as of June 30, 2017, Mr. McGonegal was provided a right to waive his rights to 21,000 outstanding stock options in exchange for a one-time lump-sum payment as defined in the Retention Agreement, which was paid on October 18, 2017 and totaled $100,013.

F1 · derivative.expiration_date: Under the terms of a Retention Agreement entered into as of June 30, 2017, Mr. McGonegal was provided a right to waive his rights to 21,000 outstanding stock options in exchange for a one-time lump-sum payment as defined in the Retention Agreement, which was paid on October 18, 2017 and totaled $100,013.

F1 · derivative.underlying_shares: Under the terms of a Retention Agreement entered into as of June 30, 2017, Mr. McGonegal was provided a right to waive his rights to 21,000 outstanding stock options in exchange for a one-time lump-sum payment as defined in the Retention Agreement, which was paid on October 18, 2017 and totaled $100,013.

F2 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-038655 · doc1.xml · nonDerivative · entry 1

MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714

F1 · shares: Represents a restricted stock award under the Riot Blockchain, Inc., (formerly - Bioptix, Inc.) Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 7 equal monthly installments beginning on October 31, 2017. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service as Chief Financial Officer.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-036984 · doc1.xml · nonDerivative · entry 1

O'Rourke John R. III · CIK 0001694931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,126

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-036983 · doc1.xml · nonDerivative · entry 1

Beeghley Michael Martin · CIK 0001662216 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,585

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-033118 · doc1.xml · nonDerivative · entry 1

O'Rourke John R. III · CIK 0001694931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,916

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-033117 · doc1.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,916

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-033116 · doc1.xml · nonDerivative · entry 1

Dai Mike · CIK 0001694912 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,499

F1 · shares: . Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-033115 · doc1.xml · nonDerivative · entry 1

Beeghley Michael Martin · CIK 0001662216 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,999

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F3 · balance_after: Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.

SEC source: 0001140361-17-027001 · doc1.xml · derivative · entry 2

MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,172 shares

Expires not disclosed

F2 · derivative.exercise_price: Mr. McGonegal agreed to waive his rights to 67,172 outstanding stock options in exchange for a one-time lump-sum payment of $50,000

F2 · derivative.exercise_date: Mr. McGonegal agreed to waive his rights to 67,172 outstanding stock options in exchange for a one-time lump-sum payment of $50,000

F2 · derivative.expiration_date: Mr. McGonegal agreed to waive his rights to 67,172 outstanding stock options in exchange for a one-time lump-sum payment of $50,000

F2 · derivative.underlying_shares: Mr. McGonegal agreed to waive his rights to 67,172 outstanding stock options in exchange for a one-time lump-sum payment of $50,000

SEC source: 0001140361-17-027001 · doc1.xml · nonDerivative · entry 1

MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), granted as compensation in connection with the Reporting Person's service pursuant to that certain retention agreement dated June 30, 2017 in connection with the Reporting Person's retention as Chief Financial Officer of the Company. The restricted stock award shall vest on the Employment Termination Date, as defined therein.

F1 · price: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), granted as compensation in connection with the Reporting Person's service pursuant to that certain retention agreement dated June 30, 2017 in connection with the Reporting Person's retention as Chief Financial Officer of the Company. The restricted stock award shall vest on the Employment Termination Date, as defined therein.

F1 · balance_after: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), granted as compensation in connection with the Reporting Person's service pursuant to that certain retention agreement dated June 30, 2017 in connection with the Reporting Person's retention as Chief Financial Officer of the Company. The restricted stock award shall vest on the Employment Termination Date, as defined therein.

SEC source: 0001140361-17-015454 · doc1.xml · derivative · entry 1

Beeghley Michael Martin · CIK 0001662216 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-04-07

F1 · derivative.exercise_price: (1) Represents a grant of an option to purchase the Company's common stock (the "Options Award") at an exercise price equal to the fair market value on the date of issuance, as determined in accordance with NASDAQ rules, pursuant to the Company's 2016 Equity Incentive Plan (the "2016 Plan"). The Options Award shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Options Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the 2016 Plan.

F1 · shares: (1) Represents a grant of an option to purchase the Company's common stock (the "Options Award") at an exercise price equal to the fair market value on the date of issuance, as determined in accordance with NASDAQ rules, pursuant to the Company's 2016 Equity Incentive Plan (the "2016 Plan"). The Options Award shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Options Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the 2016 Plan.

F2 · shares: The Options Award was granted in connection with the Reporting Person's appointment as Chief Executive Officer of the Company.

F1 · derivative.exercise_date: (1) Represents a grant of an option to purchase the Company's common stock (the "Options Award") at an exercise price equal to the fair market value on the date of issuance, as determined in accordance with NASDAQ rules, pursuant to the Company's 2016 Equity Incentive Plan (the "2016 Plan"). The Options Award shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Options Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the 2016 Plan.

F1 · derivative.underlying_shares: (1) Represents a grant of an option to purchase the Company's common stock (the "Options Award") at an exercise price equal to the fair market value on the date of issuance, as determined in accordance with NASDAQ rules, pursuant to the Company's 2016 Equity Incentive Plan (the "2016 Plan"). The Options Award shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Options Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the 2016 Plan.

F2 · derivative.underlying_shares: The Options Award was granted in connection with the Reporting Person's appointment as Chief Executive Officer of the Company.

SEC source: 0001140361-17-004917 · doc1.xml · nonDerivative · entry 1

Beeghley Michael Martin · CIK 0001662216 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: The Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F1 · balance_after: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

SEC source: 0001140361-17-004920 · doc1.xml · nonDerivative · entry 1

O'Rourke John R. III · CIK 0001694931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F1 · balance_after: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

SEC source: 0001140361-17-004918 · doc1.xml · nonDerivative · entry 1

Dai Mike · CIK 0001694912 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F2 · price: Restricted Stock Award is compensation for the Reporting Person's service on the Board.

F1 · balance_after: Represents a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

SEC source: 0001140361-17-004919 · doc1.xml · nonDerivative · entry 1

Lundy Stephen T. · CIK 0001408113 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,500

F1 · shares: Includes a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

F1 · balance_after: Includes a restricted stock award under the Bioptix, Inc. Amended & Restated Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance. The vesting of the Restricted Stock Award is subject to acceleration upon the occurrence of a "Qualifying Transaction", as such term is defined in the Restricted Stock Award.

SEC source: 0001493152-17-000136 · form4.xml · nonDerivative · entry 1

Honig Barry C · CIK 0001373203 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 443,585

F1 · ownership.nature: Held by GRQ Consultants, Inc. 401K ("401K"). The Reporting Person is the trustee of 401K and in such capacity holds voting and dispositive power over the securities held by such entity.