Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Riot Platforms, Inc.
Report date January 11, 2023 · Filed January 13, 2023
Section 16 reporting ended · disclosed 2023-01-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 876,280 |
Reported balance
After 2023-01-11 transaction · row 1
1 source rowRow 1 · 2023-01-11 · Tax withholding · Disposed 13,200 · Balance 876,280 F1: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 29,334 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 29,334 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 11, 2023 Filed Jan 13, 2023 23:41 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 13,200 | $4.22 | $55,704.00 |
DisclosureSEC source: 0001079973-23-000090 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Senior Advisor 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 876,280 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 29,334 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. Read SEC document |
| September 27, 2022 Filed Sep 30, 2022 00:58 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 323,334 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-001222 · ownership.xml · derivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · CFO (Former - See Remarks) 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 323,334 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: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), 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"). 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, and 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. Pursuant to the applicable RSA award agreement with the Issuer, these 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. F3 · price: On September 14, 2022, a Form 4 was filed that, due to an administrative error, incorrectly disclosed the resulting beneficial ownership after the transactions reported in Table II, which should have been zero (0). Accordingly, the transactions reported in Table II of this Form 4 exclude this administrative error, and the Reporting Person's beneficial ownership after the transactions reported in Table II of this Form 4 is correct. F1 · derivative.exercise_date: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), 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"). 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, and 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. Pursuant to the applicable RSA award agreement with the Issuer, these 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: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), 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"). 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, and 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. Pursuant to the applicable RSA award agreement with the Issuer, these 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. Read SEC document |
| September 27, 2022 Filed Sep 30, 2022 00:58 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantCommon Stock | 222,883 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-001222 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · CFO (Former - See Remarks) 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 889,480 F2 · shares: Represents the RSA award granted to the Reporting Person, as compensation for services, pursuant to an RSA award agreement with the Issuer. These shares are eligible to vest, if at all, as of February 23, 2023, subject to the Reporting Person's continued service with the Issuer through vesting. Read SEC document |
| September 27, 2022 Filed Sep 30, 2022 00:58 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 323,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-001222 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · CFO (Former - See Remarks) 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 666,597 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: Represents the conversion, as authorized by the Issuer's Compensation and Human Resources Committee (the "Committee"), 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"). 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, and 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. Pursuant to the applicable RSA award agreement with the Issuer, these 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. Read SEC document |
| September 12, 2022 Filed Sep 15, 2022 00:45 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 9,666 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-001100 · ownership.xml · derivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 9,666 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 · price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each performance-based restricted stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. Pursuant to the Plan, PSUs are subject to forfeiture until vested, and are contingent on the Recipient's continued employment or service with the Issuer through vesting. F4 · derivative.exercise_date: Represents the settlement following vesting of 9,666 PSUs granted, as of August 12, 2021, to the Reporting Person under the Plan, which vested upon the Committee's determination that the performance criteria corresponding to 9,666 PSUs had been achieved. F4 · derivative.expiration_date: Represents the settlement following vesting of 9,666 PSUs granted, as of August 12, 2021, to the Reporting Person under the Plan, which vested upon the Committee's determination that the performance criteria corresponding to 9,666 PSUs had been achieved. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| September 12, 2022 Filed Sep 15, 2022 00:45 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 3,963 | $8.26 | $32,734.38 |
DisclosureSEC source: 0001079973-22-001100 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,236 F3 · shares: Represents net settlement in connection with the conversion of vested PSUs into shares of the Issuer's Common Stock noted in Table II of this Report, as permitted by the Plan and approved by the Committee. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| September 12, 2022 Filed Sep 15, 2022 00:45 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 9,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-001100 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,199 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 "Plan") each performance-based restricted stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. Pursuant to the Plan, PSUs are subject to forfeiture until vested, and are contingent on the Recipient's continued employment or service with the Issuer through vesting. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| July 13, 2022 Filed Jul 18, 2022 23:08 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 14,666 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000860 · ownership.xml · derivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,666 Underlying: Common Stock · 14,666 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 14,666 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 Performance Plan and as approved by the Committee. Accordingly, the award of 14,666 Restricted Stock Units reported on this Form 4 represents the vesting of 14,666 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 14,666 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 Performance Plan and as approved by the Committee. Accordingly, the award of 14,666 Restricted Stock Units reported on this Form 4 represents the vesting of 14,666 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 14,666 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 Performance Plan and as approved by the Committee. Accordingly, the award of 14,666 Restricted Stock Units reported on this Form 4 represents the vesting of 14,666 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. Read SEC document |
| May 17, 2022 Filed May 19, 2022 21:31 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionResctricted Stock Units · Derivative | 68,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000616 · ownership.xml · derivative · entry 6 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 68,000 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 "Plan") each time-based restricted stock unit ("RSU") and performance-based restrictive stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock, no par value per share ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. F6 · derivative.exercise_date: The conversion of 68,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the reporting person on August 12, 2021 pursuant to the Award Agreement. F6 · derivative.expiration_date: The conversion of 68,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the reporting person on August 12, 2021 pursuant to the Award Agreement. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| May 17, 2022 Filed May 19, 2022 21:31 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000616 · ownership.xml · derivative · entry 5 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 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 "Plan") each time-based restricted stock unit ("RSU") and performance-based restrictive stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock, no par value per share ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. F5 · derivative.exercise_date: The conversion of 10,000 RSUs reported in Table II represents the settling of the vested portion of the 20,000 RSUs awarded to the Reporting Person by the Issuer on February 8, 2021 pursuant to the terms of the executive employment agreement between the Issuer and the Reporting Person, dated effective as of the grant date, which vested in four equal quarterly installments following the grant date. F5 · derivative.expiration_date: The conversion of 10,000 RSUs reported in Table II represents the settling of the vested portion of the 20,000 RSUs awarded to the Reporting Person by the Issuer on February 8, 2021 pursuant to the terms of the executive employment agreement between the Issuer and the Reporting Person, dated effective as of the grant date, which vested in four equal quarterly installments following the grant date. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| May 17, 2022 Filed May 19, 2022 21:31 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 27,880 | $7.97 | $222,203.60 |
DisclosureSEC source: 0001079973-22-000616 · ownership.xml · nonDerivative · entry 4 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337,533 F4 · shares: Represents net settlement for taxes due in connection with the conversion of 68,000 vested PSUs into shares of the Issuer's Common Stock upon settlement by the Issuer, as permitted by the Plan and approved by the Committee. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| May 17, 2022 Filed May 19, 2022 21:31 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 68,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000616 · ownership.xml · nonDerivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,413 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 "Plan") each time-based restricted stock unit ("RSU") and performance-based restrictive stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock, no par value per share ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| May 17, 2022 Filed May 19, 2022 21:31 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 4,100 | $7.97 | $32,677.00 |
DisclosureSEC source: 0001079973-22-000616 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,413 F3 · shares: Represents net settlement for taxes due in connection with the conversion of 10,000 vested RSUs into shares of the Issuer's Common Stock upon settlement by the Issuer, as permitted by the Plan and approved by the Committee. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| May 17, 2022 Filed May 19, 2022 21:31 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000616 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,513 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 "Plan") each time-based restricted stock unit ("RSU") and performance-based restrictive stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock, no par value per share ("Common Stock") subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), following vesting and settlement by the Issuer. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| April 13, 2022 Filed Apr 15, 2022 21:57 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 24,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000436 · ownership.xml · derivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,000 Underlying: Common Stock · 24,000 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 24,000 PSUs had been achieved as of March 31, 2022. Therefore, 24,000 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 24,000 Restricted Stock Units reported on this Form 4 represents the vesting of 24,000 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 24,000 PSUs had been achieved as of March 31, 2022. Therefore, 24,000 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 24,000 Restricted Stock Units reported on this Form 4 represents the vesting of 24,000 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. Read SEC document |
| January 14, 2022 Filed Jan 19, 2022 02:32 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 44,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-22-000084 · ownership.xml · derivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,000 Underlying: Common Stock · 44,000 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. F1 · 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 · 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 44,000 PSUs had been achieved. Accordingly, the 44,000 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 · 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 44,000 PSUs had been achieved. Accordingly, the 44,000 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. 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. Read SEC document |
| December 07, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 12,000 | $4.09 | $49,080.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 5 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,227 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 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $4.09 | $0.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · derivative · entry 11 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 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. F8 · derivative.exercise_date: The conversion of Employee Stock Options reported in Table II represents the exercise by the Reporting Person of all 12,000 Employee Stock Options granted to the Reporting Person by the Committee. The Employee Stock Options were originally granted under the Issuer's legacy 2017 equity plan, but are being settled under the Plan, which replaced the 2017 equity plan as of its adoption in 2019. F8 · derivative.expiration_date: The conversion of Employee Stock Options reported in Table II represents the exercise by the Reporting Person of all 12,000 Employee Stock Options granted to the Reporting Person by the Committee. The Employee Stock Options were originally granted under the Issuer's legacy 2017 equity plan, but are being settled under the Plan, which replaced the 2017 equity plan as of its adoption in 2019. F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · derivative · entry 10 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 10,000 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 "Plan") each time-based restricted stock unit ("RSU") and 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. F1 · price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSU") and 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. F7 · derivative.exercise_date: The conversion of 10,000 RSUs reported in Table II represents the settling of the vested portion of the 20,000 RSUs awarded to the Reporting Person by the Issuer on February 8, 2021 pursuant to the terms of the executive employment agreement between the Issuer and the Reporting Person, dated effective as of the grant date, which are eligible to vest in four equal quarterly installments following the grant date. F7 · derivative.expiration_date: The conversion of 10,000 RSUs reported in Table II represents the settling of the vested portion of the 20,000 RSUs awarded to the Reporting Person by the Issuer on February 8, 2021 pursuant to the terms of the executive employment agreement between the Issuer and the Reporting Person, dated effective as of the grant date, which are eligible to vest in four equal quarterly installments following 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. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 44,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · derivative · entry 9 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 44,000 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 "Plan") each time-based restricted stock unit ("RSU") and 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. F1 · price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSU") and 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. F6 · derivative.exercise_date: The conversion of 44,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the Reporting Person on August 12, 2021 pursuant to the Award Agreement, which vested upon the Committee's determination that performance criteria corresponding to 44,000 PSUs had been achieved. F6 · derivative.expiration_date: The conversion of 44,000 PSUs reported in Table II represents the settling by the Issuer of the vested portion of the PSUs granted to the Reporting Person on August 12, 2021 pursuant to the Award Agreement, which vested upon the Committee's determination that performance criteria corresponding to 44,000 PSUs 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. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | SaleCommon Stock | 50,000 | $28.00 | $1,400,000.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 7 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,513 F2 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 1,714 | $28.64 | $49,088.96 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 6 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 341,513 F4 · shares: Represents shares of Common Stock withheld as payment of the exercise price due in connection with the exercise of 12,000 vested Employee Stock Options awarded to the Reporting Person by the Committee, as permitted by the Plan and approved by 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. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 4,100 | $28.64 | $117,424.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 4 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,227 F3 · shares: Represents net settlement in connection with the conversion of 44,000 vested PSUs and 10,000 vested RSUs into shares of the Issuer's Common Stock, as permitted under the Plan and approved by 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. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,327 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 "Plan") each time-based restricted stock unit ("RSU") and 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 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 18,040 | $28.64 | $516,665.60 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,327 F3 · shares: Represents net settlement in connection with the conversion of 44,000 vested PSUs and 10,000 vested RSUs into shares of the Issuer's Common Stock, as permitted under the Plan and approved by 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. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 44,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,367 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 "Plan") each time-based restricted stock unit ("RSU") and 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 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| December 03, 2021 Filed Dec 8, 2021 02:14 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 7,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-001217 · ownership.xml · derivative · entry 8 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,000 Underlying: Common Stock · 7,333 shares Expires not disclosed F1 · derivative.exercise_price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSU") and 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. F1 · price: Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") each time-based restricted stock unit ("RSU") and 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. F5 · 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 7,333 PSUs granted to the Reporting Person under the Award Agreement had been achieved. Accordingly, the 7,333 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. F5 · 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 7,333 PSUs granted to the Reporting Person under the Award Agreement had been achieved. Accordingly, the 7,333 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 · balance_after: Represents the total direct and indirect ownership of the indicated security held by the Reporting Person immediately following the reported transaction. Read SEC document |
| August 12, 2021 Filed Aug 16, 2021 20:58 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 36,667 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-000802 · ownership.xml · derivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,667 Underlying: Common Stock · 36,667 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 36,667 of the PSUs had been achieved. Accordingly, the 36,667 PSUs indicated on this report 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 36,667 of the PSUs had been achieved. Accordingly, the 36,667 PSUs indicated on this report 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 36,667 of the PSUs had been achieved. Accordingly, the 36,667 PSUs indicated on this report 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. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 20:25 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-000459 · ownership.xml · derivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common Stock · 5,000 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 ("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. F4 · price: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 McGonegal Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan as equity compensation, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 McGonegal Employment Agreement. F4 · derivative.exercise_date: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 McGonegal Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan as equity compensation, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 McGonegal Employment Agreement. F4 · derivative.expiration_date: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 McGonegal Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan as equity compensation, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 McGonegal Employment Agreement. F2 · balance_after: Represents the total direct and indirect beneficial ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4 Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 20:25 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 1,500 | $27.13 | $40,695.00 |
DisclosureSEC source: 0001079973-21-000459 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,367 F3 · shares: Represents net settlement for taxes in connection with the settlement of 5,000 vested RSUs, as permitted under the Plan. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 20:25 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001079973-21-000459 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,867 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 ("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. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 23:15 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 20,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-000080 · ownership.xml · derivative · entry 4 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_price: Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (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. F5 · price: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 Employment Agreement. F5 · derivative.exercise_date: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 Employment Agreement. F5 · derivative.expiration_date: Pursuant to the First Amendment to the Amended and Restated Executive Employment Agreement between the Issuer and the Reporting Person, dated February 8, 2021 (the "2021 Employment Agreement"), the Reporting Person was granted 20,000 RSUs under the Plan, which are eligible to vest in four (4) equal quarterly installments pursuant to and during the term of the 2021 Employment Agreement. F2 · balance_after: Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 23:15 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 104,895 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001079973-21-000080 · ownership.xml · derivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 104,895 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 ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (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. F4 · price: Pursuant to the Amended and Restated Executive Employment Agreement between the Reporting Person and the Issuer dated as of February 7, 2020 (the "2020 Employment Agreement"), the Reporting Person received an award of 209,790 RSUs under the Plan, which vested in four (4) equal quarterly installments pursuant to and during the term of the 2020 Employment Agreement. F4 · derivative.exercise_date: Pursuant to the Amended and Restated Executive Employment Agreement between the Reporting Person and the Issuer dated as of February 7, 2020 (the "2020 Employment Agreement"), the Reporting Person received an award of 209,790 RSUs under the Plan, which vested in four (4) equal quarterly installments pursuant to and during the term of the 2020 Employment Agreement. F4 · derivative.expiration_date: Pursuant to the Amended and Restated Executive Employment Agreement between the Reporting Person and the Issuer dated as of February 7, 2020 (the "2020 Employment Agreement"), the Reporting Person received an award of 209,790 RSUs under the Plan, which vested in four (4) equal quarterly installments pursuant to and during the term of the 2020 Employment Agreement. F2 · balance_after: Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 23:15 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 31,469 | $23.36 | $735,115.84 |
DisclosureSEC source: 0001079973-21-000080 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,867 F3 · shares: Represents net settlement for taxes in connection with the settlement of 104,895 vested RSUs, as permitted under the Plan. F2 · balance_after: Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 23:15 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionCommon Stock | 104,895 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001079973-21-000080 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,336 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 ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (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 · balance_after: Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4. Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 21:38 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Exercise / conversionRestricted Stock Units · Derivative | 104,895 | $0.00 | $0.00 |
DisclosureSEC source: 0001079973-20-000766 · ownership.xml · derivative · entry 3 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,895 Underlying: Common Stock · 104,895 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 ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (the "Plan") convert into shares of the Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer. F3 · derivative.exercise_date: Pursuant to 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"), on February 7, 2020, the Reporting Person was granted 209,790 RSUs under the Plan, which vest in four equal quarterly installments during the term of the Employment Agreement. Accordingly, after the settlement of 104,895 vested RSUs into shares of the Issuer's Common Stock, 104,895 RSUs granted to the Reporting Person by the Issuer remain outstanding and subject to the vesting schedule and the other terms and conditions of the Employment Agreement. F3 · derivative.expiration_date: Pursuant to 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"), on February 7, 2020, the Reporting Person was granted 209,790 RSUs under the Plan, which vest in four equal quarterly installments during the term of the Employment Agreement. Accordingly, after the settlement of 104,895 vested RSUs into shares of the Issuer's Common Stock, 104,895 RSUs granted to the Reporting Person by the Issuer remain outstanding and subject to the vesting schedule and the other terms and conditions of the Employment Agreement. Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 21:38 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | Tax withholdingCommon Stock | 31,469 | $3.23 | $101,644.87 |
DisclosureSEC source: 0001079973-20-000766 · ownership.xml · nonDerivative · entry 2 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,441 F2 · shares: Represents net settlement for taxes in connection with the settlement of 104,895 vested RSUs, as permitted under the Plan. Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 21:38 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantCommon Stock | 104,895 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001079973-20-000766 · ownership.xml · nonDerivative · entry 1 MCGONEGAL JEFFREY · CIK 0001187604 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,910 F1 · price: Vested Restricted Stock Units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan (the "Plan") convert into shares of the Issuer's Common Stock, no par value, on a one-for-one basis upon settlement by the Issuer. Read SEC document |
| February 07, 2020 Filed Feb 10, 2020 23:34 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantRestricted Stock Units · Derivative | 209,790 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 06, 2020 Filed Feb 10, 2020 23:34 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | GrantCommon Stock | 122,377 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| October 18, 2017 Filed Oct 20, 2017 21:04 UTC | Riot Platforms, Inc. RIOT · Entity 3724 | OtherStock Option (Right to Buy) · Derivative | 21,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 20:45 UTC | Riot Platforms, Inc. BIOP · Entity 3724 | GrantCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 21:02 UTC | Riot Platforms, Inc. BIOP · Entity 3724 | OtherStock Option (Right to Buy) · Derivative | 67,172 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 21:02 UTC | Riot Platforms, Inc. BIOP · Entity 3724 | GrantCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.