Harris Chad Everett

SEC source: 0001415889-23-001970 · form4-02032023_110204.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · (SEE REMARKS)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,400

SEC source: 0001415889-23-001970 · form4-02032023_110204.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · (SEE REMARKS)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,400

SEC source: 0001079973-23-000087 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 975,342

F1 · shares: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 24,000 performance-based restricted shares of the Issuer's Common Stock, previously issued to the Reporting Person as restricted stock awards, which are eligible to vest, if at all, based on the Issuer's achievement of performance objectives established under the performance plan, as previously reported on Form 4 by the Reporting Person. Pursuant to the equity award agreements between the Issuer and the Reporting Person covering such awards, vested shares may be surrendered to the Issuer by the Reporting Person to cover applicable taxes incurred in connection with the vesting of such shares, as authorized and approved by the Issuer's Compensation and Human Resources Committee, which administers the Plan.

SEC source: 0001079973-22-001532 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 984,942

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $4.15 to $4.16 per share. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001079973-22-001220 · ownership.xml · derivative · entry 3

Harris Chad Everett · CIK 0001863770 · EVP, CCO (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 242,000 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.

F1 · derivative.exercise_price: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · price: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.exercise_date: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.expiration_date: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

F1 · derivative.underlying_shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

SEC source: 0001079973-22-001220 · ownership.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · EVP, CCO (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,507

F2 · shares: Represents the RSA award granted to the Reporting Person as compensation for serving as the Issuer's EVP and Chief Commercial Officer pursuant to an RSA award agreement with the Issuer. These shares are eligible to vest, if at all, in two equal annual tranches as of June 1, 2023, and June 1, 2024, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates.

SEC source: 0001079973-22-001220 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,565

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 · shares: The reported transactions represent the conversion of all outstanding restricted stock unit awards ("RSUs") granted to the Reporting Person under the Issuer's equity plan into equal awards of restricted shares of the Issuer's Common Stock ("RSAs"), as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"). The reported number of shares represents the total maximum target award allocated to the Reporting Person under the performance-incentive plan established by the Committee under the Issuer's equity plan, which are eligible to vest, if at all, based on the Issuer's achievement, during the performance period ending December 31, 2023, of performance objectives established under the performance plan. The shares are subject to forfeiture until vested, and any shares remaining unvested as of the end of the performance period will be automatically forfeited without consideration.

SEC source: 0001079973-22-000878 · ownership.xml · derivative · entry 6

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,000 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.

F1 · derivative.exercise_price: 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").

F1 · price: 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").

F5 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: 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.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000878 · ownership.xml · derivative · entry 5

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Common Stock · 2,488 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: 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").

F1 · price: 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").

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000878 · ownership.xml · nonDerivative · entry 4

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,565

F3 · shares: Represents net settlement for taxes due in connection with the conversion reported on the foregoing line of this report.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000878 · ownership.xml · nonDerivative · entry 3

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,365

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: 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 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000878 · ownership.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,365

F3 · shares: Represents net settlement for taxes due in connection with the conversion reported on the foregoing line of this report.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000878 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,111

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: 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 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000849 · ownership.xml · derivative · entry 1

Harris Chad Everett · CIK 0001863770 · EVP, CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,488

Underlying: Common Stock · 12,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Equity Plan") 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") upon settlement by the Issuer following vesting. PSUs are subject to vesting under the performance plan established by the Issuer's Compensation and Human Resources Committee (the "Committee") under the Equity Plan, (the "Performance Plan") in connection with the Issuer's achievement of certain performance milestones specified by the Committee during the performance period expiring on December 31, 2023.

F2 · shares: On July 13, 2022, the Committee determined that the Issuer had achieved, as of June 30, 2022, the performance criteria corresponding to 12,000 PSUs. Upon vesting, the Issuer records PSUs as Restricted Stock Units, which are eligible to be settled by the Issuer in shares of its Common Stock on a one-for-one basis, subject to any net settlement for taxes as permitted under the Plan and as approved by the Committee. Accordingly, the award of 12,000 Restricted Stock Units reported on this Form 4 represents the vesting of 12,000 PSUs awarded to the Reporting Person on August 12, 2021.

F1 · price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Equity Plan") 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") upon settlement by the Issuer following vesting. PSUs are subject to vesting under the performance plan established by the Issuer's Compensation and Human Resources Committee (the "Committee") under the Equity Plan, (the "Performance Plan") in connection with the Issuer's achievement of certain performance milestones specified by the Committee during the performance period expiring on December 31, 2023.

F2 · derivative.exercise_date: On July 13, 2022, the Committee determined that the Issuer had achieved, as of June 30, 2022, the performance criteria corresponding to 12,000 PSUs. Upon vesting, the Issuer records PSUs as Restricted Stock Units, which are eligible to be settled by the Issuer in shares of its Common Stock on a one-for-one basis, subject to any net settlement for taxes as permitted under the Plan and as approved by the Committee. Accordingly, the award of 12,000 Restricted Stock Units reported on this Form 4 represents the vesting of 12,000 PSUs awarded to the Reporting Person on August 12, 2021.

F2 · derivative.expiration_date: On July 13, 2022, the Committee determined that the Issuer had achieved, as of June 30, 2022, the performance criteria corresponding to 12,000 PSUs. Upon vesting, the Issuer records PSUs as Restricted Stock Units, which are eligible to be settled by the Issuer in shares of its Common Stock on a one-for-one basis, subject to any net settlement for taxes as permitted under the Plan and as approved by the Committee. Accordingly, the award of 12,000 Restricted Stock Units reported on this Form 4 represents the vesting of 12,000 PSUs awarded to the Reporting Person on August 12, 2021.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000433 · ownership.xml · derivative · entry 1

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,488

Underlying: Common Stock · 14,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") the Reporting Person was granted performance-based restricted stock unit ("PSUs") as of August 12, 2021, which are eligible to vest contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. Each 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.

F1 · price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") the Reporting Person was granted performance-based restricted stock unit ("PSUs") as of August 12, 2021, which are eligible to vest contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. Each 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 · derivative.exercise_date: On April 13, 2022, the Committee determined that the performance criteria corresponding to 14,000 PSUs had been achieved as of March 31, 2022. Therefore, 14,000 of the PSUs originally awarded to the Reporting Person became vested as of April 13, 2022. Upon vesting, the Issuer records PSUs as Restricted Stock Units, which are eligible to be settled by the Issuer in shares of its Common Stock on a one-for-one basis, subject to any net settlement for taxes as permitted under the Plan and as approved by the Committee. Accordingly, the award of 14,000 Restricted Stock Units reported on this Form 4 represents the vesting of 14,000 PSUs awarded to the Reporting Person on August 12, 2021.

F2 · derivative.expiration_date: On April 13, 2022, the Committee determined that the performance criteria corresponding to 14,000 PSUs had been achieved as of March 31, 2022. Therefore, 14,000 of the PSUs originally awarded to the Reporting Person became vested as of April 13, 2022. Upon vesting, the Issuer records PSUs as Restricted Stock Units, which are eligible to be settled by the Issuer in shares of its Common Stock on a one-for-one basis, subject to any net settlement for taxes as permitted under the Plan and as approved by the Committee. Accordingly, the award of 14,000 Restricted Stock Units reported on this Form 4 represents the vesting of 14,000 PSUs awarded to the Reporting Person on August 12, 2021.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · derivative · entry 7

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,488

Underlying: Common Stock · 2,487 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: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F1 · price: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F6 · derivative.exercise_date: The conversion of 2,487 vested RSUs reported in Table II relates to the settlement by the Issuer of the remaining unsettled portion of the 2,487 RSUs granted to the Reporting Person on April 6, 2021, which vested in four quarterly installments after the grant date.

F6 · derivative.expiration_date: The conversion of 2,487 vested RSUs reported in Table II relates to the settlement by the Issuer of the remaining unsettled portion of the 2,487 RSUs granted to the Reporting Person on April 6, 2021, which vested in four quarterly installments after the grant date.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · derivative · entry 6

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,975

Underlying: Common Stock · 42,000 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.

F1 · derivative.exercise_price: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F1 · price: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F5 · derivative.exercise_date: The conversion of 42,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the Reporting Person pursuant to the Award Agreement, which vested upon the Committee's determination that performance criteria corresponding to 42,000 of the PSUs granted to the Reporting Person had been achieved.

F5 · derivative.expiration_date: The conversion of 42,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the Reporting Person pursuant to the Award Agreement, which vested upon the Committee's determination that performance criteria corresponding to 42,000 of the PSUs granted to the Reporting Person had been achieved.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · derivative · entry 5

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,487

Underlying: Common Stock · 36,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F1 · price: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F4 · derivative.exercise_date: On August 12, 2021, the Reporting Person was granted PSUs, which are eligible to vest contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. The Committee determined that, as of December 31, 2021, the performance criteria corresponding to 36,000 PSUs had been achieved. Accordingly, the 36,000 PSUs reported on this Form 4 became vested and eligible to be settled by the Issuer as restricted stock units in accordance with the Plan.

F4 · derivative.expiration_date: On August 12, 2021, the Reporting Person was granted PSUs, which are eligible to vest contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. The Committee determined that, as of December 31, 2021, the performance criteria corresponding to 36,000 PSUs had been achieved. Accordingly, the 36,000 PSUs reported on this Form 4 became vested and eligible to be settled by the Issuer as restricted stock units in accordance with the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · nonDerivative · entry 4

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,623

F3 · shares: Represents shares of Common Stock withheld for taxes in connection with the settlement by the Issuer following vesting of 2,487 RSUs previously granted to the Reporting Person under the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · nonDerivative · entry 3

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,369

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: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,882

F2 · shares: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-22-000087 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,482

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: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-21-001212 · ownership.xml · derivative · entry 1

Harris Chad Everett · CIK 0001863770 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,975

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") 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 · price: On August 12, 2021, the Issuer and the Reporting Person entered into a Performance Restricted Stock Unit Award Agreement, (the "Award Agreement") pursuant to which the Issuer granted the Reporting Person PSUs, contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. On December 3, 2021, the Committee determined that, as of the end of the third fiscal quarter of 2021, the performance criteria for 6,000 PSUs granted to the Reporting Person under the Award Agreement had been achieved. Accordingly, the issuance of 6,000 PSUs reported on this form became vested and eligible to be settled by the Issuer as restricted stock units in accordance with the Plan and the Award Agreement.

F2 · derivative.exercise_date: On August 12, 2021, the Issuer and the Reporting Person entered into a Performance Restricted Stock Unit Award Agreement, (the "Award Agreement") pursuant to which the Issuer granted the Reporting Person PSUs, contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. On December 3, 2021, the Committee determined that, as of the end of the third fiscal quarter of 2021, the performance criteria for 6,000 PSUs granted to the Reporting Person under the Award Agreement had been achieved. Accordingly, the issuance of 6,000 PSUs reported on this form became vested and eligible to be settled by the Issuer as restricted stock units in accordance with the Plan and the Award Agreement.

F2 · derivative.expiration_date: On August 12, 2021, the Issuer and the Reporting Person entered into a Performance Restricted Stock Unit Award Agreement, (the "Award Agreement") pursuant to which the Issuer granted the Reporting Person PSUs, contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. On December 3, 2021, the Committee determined that, as of the end of the third fiscal quarter of 2021, the performance criteria for 6,000 PSUs granted to the Reporting Person under the Award Agreement had been achieved. Accordingly, the issuance of 6,000 PSUs reported on this form became vested and eligible to be settled by the Issuer as restricted stock units in accordance with the Plan and the Award Agreement.

F3 · balance_after: 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.

SEC source: 0001079973-21-001025 · ownership.xml · derivative · entry 3

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,975

Underlying: Common Stock · 34,974 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.

F4 · derivative.exercise_date: The conversion of 4,974 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 9,949 RSUs granted to the Reporting Person on May 12, 2021, which are eligible to vest in four quarterly installments after the grant date. The conversion of the 30,000 vested PSUs reported in Table II relates to the settlement by the Issuer of vested PSUs awarded to the Reporting Person on August 12, 2021, which vested upon the Issuer's attainment of the specified performance objectives corresponding to 30,000 PRSUs under the Plan.

F4 · derivative.expiration_date: The conversion of 4,974 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 9,949 RSUs granted to the Reporting Person on May 12, 2021, which are eligible to vest in four quarterly installments after the grant date. The conversion of the 30,000 vested PSUs reported in Table II relates to the settlement by the Issuer of vested PSUs awarded to the Reporting Person on August 12, 2021, which vested upon the Issuer's attainment of the specified performance objectives corresponding to 30,000 PRSUs under the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-21-001025 · ownership.xml · nonDerivative · entry 2

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,482

F3 · shares: Represents shares of Common Stock withheld for taxes in connection with the settlement by the Issuer following vesting of 4,974 RSUs and 30,000 PSUs previously granted to the Reporting Person under the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-21-001025 · ownership.xml · nonDerivative · entry 1

Harris Chad Everett · CIK 0001863770 · see Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,974

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: Vested restricted stock units ("RSU") and vested performance-based restricted stock units ("PSUs") awarded to the Reporting Person under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") are convertible into shares of the Issuer's common stock, no par value per share, ("Common Stock") on a one-for-one basis, subject to any net settlement for taxes permitted under the Plan, upon settlement by the Issuer in accordance with the procedures of the Plan.

F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction.

SEC source: 0001079973-21-000796 · ownership.xml · derivative · entry 1

Harris Chad Everett · CIK 0001863770 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,949

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") which covert, on a one-for-one basis, into shares of the Issuer's Common Stock, no par value per share, subject to any net settlement for taxes permitted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended (the "Plan"). The PSUs were issued to the Reporting Person under the Plan pursuant to the Performance Restricted Stock Unit Award Agreement, dated as of August 12, 2021, between the Issuer and the Reporting Person (the "Award Agreement"), as approved by the Compensation and Human Resources Committee of the Issuer.

F2 · price: On August 12, 2021, the Committee determined the performance goals for 30,000 of the PSUs had been achieved. Accordingly, the 30,000 PSUs indicated on this Form 4 became fully vested and eligible to be settled by the Issuer in accordance with its customary practices and procedures, subject to any net settlement for taxes permitted under the Plan and the Award Agreement.

F2 · derivative.exercise_date: On August 12, 2021, the Committee determined the performance goals for 30,000 of the PSUs had been achieved. Accordingly, the 30,000 PSUs indicated on this Form 4 became fully vested and eligible to be settled by the Issuer in accordance with its customary practices and procedures, subject to any net settlement for taxes permitted under the Plan and the Award Agreement.

F2 · derivative.expiration_date: On August 12, 2021, the Committee determined the performance goals for 30,000 of the PSUs had been achieved. Accordingly, the 30,000 PSUs indicated on this Form 4 became fully vested and eligible to be settled by the Issuer in accordance with its customary practices and procedures, subject to any net settlement for taxes permitted under the Plan and the Award Agreement.

F3 · balance_after: 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.

SEC source: 0001079973-21-000438 · ownership.xml · derivative · entry 1

Harris Chad Everett · CIK 0001863770 · Subsidiary Officer See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,949

Underlying: Common Stock · 9,949 shares

Expires not disclosed

F1 · derivative.exercise_price: Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") covert into shares of the Issuer's Common Stock on a one-for-one basis upon settlement by the Issuer in accordance with the procedures of the Plan.

F2 · price: On May 26, 2021, the Reporting Person was granted an award of 9,949 RSUs under the Plan pursuant to an equity award agreement between the Issuer and the Reporting Person (the "Award Agreement"). Subject to the terms and conditions set forth in the Award Agreement, these 9,949 RSUs are eligible to vest in four (4) equal quarterly installments following the grant date.

F2 · derivative.exercise_date: On May 26, 2021, the Reporting Person was granted an award of 9,949 RSUs under the Plan pursuant to an equity award agreement between the Issuer and the Reporting Person (the "Award Agreement"). Subject to the terms and conditions set forth in the Award Agreement, these 9,949 RSUs are eligible to vest in four (4) equal quarterly installments following the grant date.

F2 · derivative.expiration_date: On May 26, 2021, the Reporting Person was granted an award of 9,949 RSUs under the Plan pursuant to an equity award agreement between the Issuer and the Reporting Person (the "Award Agreement"). Subject to the terms and conditions set forth in the Award Agreement, these 9,949 RSUs are eligible to vest in four (4) equal quarterly installments following the grant date.

F3 · balance_after: 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.