Les Jason

SEC source: 0001721702-26-000018 · form4-08042026_080801.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,944,637

F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of performance-based restricted stock previously granted to the Reporting Person under the Issuer's Long-Term Incentive Program. The vesting of such shares was subject to the Issuer's achievement of certain performance objectives.

SEC source: 0001721702-26-000016 · form4-07062026_050703.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,841,558

F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding requirements upon vesting of restricted shares of the Issuer's common stock.

SEC source: 0001721702-26-000013 · form4-06242026_040604.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 1,263,556

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 25, 2025.

F2 · price: These shares were sold on the indicated date in a series of multiple transactions at prices ranging from $30.00 to $30.31, inclusive, per share. The price reported above reflects the weighted average sales price. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

F3 · ownership.nature: Shares held in trust by Jason M. Les, as Trustee of The Jason M. Les Trust dated March 8, 2021.

SEC source: 0001721702-26-000010 · form4-05132026_040501.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 1,326,259

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 25, 2025.

F2 · price: These shares were sold on the indicated date in a series of multiple transactions at prices ranging from $25.00 to $25.47, inclusive, per share. The price reported above reflects the weighted average sales price. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

F3 · ownership.nature: Shares held in trust by Jason M. Les, as Trustee of The Jason M. Les Trust dated March 8, 2021.

SEC source: 0001721702-26-000002 · form4-01052026_060103.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,673,921

F2 · shares: Represents an award of performance-based restricted shares under the LTIP at the maximum achievable amount of up to 200% of the award target amount of 473,559 shares. Such shares are eligible to vest, if at all, at the end of the three-year performance period from January 1, 2026 through December 31, 2028, upon certification by the Compensation and Human Resources Committee, and subject to the Reporting Persons continued service with the Issuer through January 1, 2029.

SEC source: 0001721702-26-000002 · form4-01052026_060103.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,726,803

F1 · shares: Represents the award of service-based restricted shares under the Issuer's Long-Term Incentive Program ("LTIP"). These shares are eligible to vest, if at all, in three approximately equal tranches as of January 1, 2027, January 1, 2028, and January 1, 2029, subject to the Reporting Person's continued service with the Issuer through each applicable vesting date.

SEC source: 0001721702-25-000009 · form4-10032025_091056.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 769,911

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 10, 2024.

F2 · price: These shares were sold on the indicated date in a series of multiple transactions at prices ranging from $20.00 to $20.145, inclusive, per share. The price reported above reflects the weighted average sales price. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

F3 · ownership.nature: Shares held in trust by Jason M. Les, as Trustee of The Jason M. Les Trust dated March 8, 2021.

SEC source: 0001721702-25-000006 · form4-10012025_051001.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 883,859

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 10, 2024.

F2 · price: These shares were sold on the indicated date in a series of multiple transactions at prices ranging from $20.00 to $20.005, inclusive, per share. The price reported above reflects the weighted average sales price. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

F3 · ownership.nature: Shares held in trust by Jason M. Les, as Trustee of The Jason M. Les Trust dated March 8, 2021.

SEC source: 0001721702-25-000004 · form4-09262025_090953.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 896,659

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 10, 2024.

F2 · price: These shares were sold on the indicated date in a series of multiple transactions at prices ranging from $20.00 to $20.10, inclusive, per share. The price reported above reflects the weighted average sales price. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

F3 · ownership.nature: Shares held in trust by Jason M. Les, as Trustee of The Jason M. Les Trust dated March 8, 2021.

SEC source: 0001415889-25-020202 · form4-07232025_060701.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 919,911

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 10, 2024.

F2 · price: These shares were sold on the indicated date in a series of multiple transactions at prices ranging from $15.00 to $15.245, inclusive, per share. The price reported above reflects the weighted average sales price. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transactions were effected.

F3 · ownership.nature: Shares held in trust by Jason M. Les, as Trustee of The Jason M. Les Trust dated March 8, 2021.

SEC source: 0001415889-25-019158 · form4-07022025_110734.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,253,244

F1 · shares: Represents shares withheld by the Issuer to satisfy tax withholding requirements upon vesting of restricted shares of the Issuer's common stock.

SEC source: 0001415889-24-029168 · form4-12122024_111207.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 1,019,911

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2024.

F2 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.22 to $11.47, inclusive, 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 transactions were effected.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001415889-24-019272 · form4-07032024_060702.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,354,854

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("PRSAs") of up to a maximum of 200% of the target amount, which is 376,884 shares, during the three-year performance period from January 1, 2024 through December 31, 2026 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of certain performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 1, 2027. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

SEC source: 0001415889-24-019272 · form4-07032024_060702.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,601,086

F2 · shares: Represents the award of RSAs granted to the Reporting Person, as authorized by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP"), pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2025, July 1, 2026, and July 1, 2027, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

SEC source: 0001415889-24-019272 · form4-07032024_060702.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,224,202

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 61,606 restricted shares of the Issuer's Common Stock, no par value per share, previously issued to the Reporting Person as service-based restricted stock awards ("RSAs") granted under the Issuer's 2019 Equity Incentive Plan, as previously reported on Form 4 by the Reporting Person.

SEC source: 0001415889-24-015243 · form4-06032024_090602.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,256,700

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 1,485,884 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person as restricted stock awards granted under the Issuer's 2019 Equity Incentive Plan , as previously reported on Form 4 by the Reporting Person.

SEC source: 0001415889-24-005342 · form4-02272024_120209.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,054,590

F2 · shares: Represents the return to the Issuer of the performance-based restricted shares of Common Stock originally awarded to the Reporting Person pursuant to the Performance Program which remained unvested as of the end of such Performance Program, as of February 22, 2024. Pursuant to the award agreement covering such award, any shares of restricted Common Stock remaining unvested as of the end of such Performance Program were automatically forfeited and returned to the Issuer, without consideration therefor.

SEC source: 0001415889-24-005342 · form4-02272024_120209.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,352,924

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 30,000 performance-based restricted shares of the Issuer's Common Stock, previously issued to the Reporting Person as restricted stock awards, which were eligible to vest, if at all, based on the Issuer's achievement of performance objectives established under the Issuer's 2019 Equity Plan as of August 12, 2021 (the "Performance Program"), 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: 0001415889-24-000797 · form4-01052024_080101.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,368,678

F1 · kind: Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement").

F2 · shares: The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested.

SEC source: 0001415889-24-000786 · form5-01052024_110148.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,021,867

F1 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001415889-23-011199 · form4-07172023_110704.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,393,389

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F3 · shares: Represents the maximum achievable award of performance-based restricted shares of the Issuer's Common Stock ("PRSAs") of up to a maximum of 200% of the target amount, which is 184,820, during the three-year performance period from January 1, 2023 through December 31, 2025 (the "Performance Period"), granted to the Reporting Person, as authorized by the Committee under the LTIP, pursuant to an LTIP award agreement with the Issuer. These PRSAs are eligible to vest, if at all, based upon certification by the Committee of the Company's achievement, as of the end of the Performance Period, of performance objectives, and subject to the Reporting Persons continued service with the Issuer through July 31, 2026. Any unvested portion of the PRSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

SEC source: 0001415889-23-011199 · form4-07172023_110704.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,023,749

F1 · kind: Represents a grant of unvested restricted shares of the Issuer's Common Stock, no par value per share, (the "Restricted Shares") granted to the Reporting Person, as compensation for services to the Issuer, according to the Long-Term Incentive Program established, as of July 13, 2023, (the "LTIP") by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"). According to the award agreement between the Issuer and Reporting Person governing such award (the "Award Agreement"), the final number of Restricted Shares to vest shall be determined as of the end of the Award Term, based on (i) the Reporting Person's continued employment with the Issuer through vesting, and (ii) the Issuer's achievement of certain performance objectives established for it by the Committee under the LTIP.

F2 · shares: Represents the award of service-based restricted shares of the Issuer's Common Stock ("RSAs") granted to the Reporting Person, as authorized by the Committee under the LTIP, as compensation for serving as the Issuer's Chief Executive Officer, pursuant to an LTIP award agreement with the Issuer. These shares are eligible to vest, if at all, in three approximately equal annual tranches as of July 1, 2024, July 1, 2025 and July 1, 2026, subject to the Reporting Person's continued service with the Issuer through the applicable vesting dates. Any unvested portion of the RSAs shall be automatically forfeited and returned to the Issuer, without consideration therefore.

SEC source: 0001415889-23-011059 · form4-07122023_100709.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,838,929

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 16,666 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.

F2 · balance_after: Excludes 718,406 shares previously owned directly which were contributed to the Issuers trust, the Jason M. Les, Trust, dated March 8, 2021, on July 12, 2023.

SEC source: 0001415889-23-009303 · form4-06062023_010609.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,565,957

F4 · 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 1,485,884 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person as restricted stock awards granted under the Issuer's equity incentive plan (the "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: 0001415889-23-009303 · form4-06062023_010609.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 351,794

F3 · shares: The reported disposition represents a bona fide gift made by the Reporting Person.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001415889-23-009303 · form4-06062023_010609.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 356,794

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.6159 to $11.6822, inclusive, 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 transactions were effected.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001415889-23-008928 · form4-05302023_100500.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 406,794

F3 · shares: The reported disposition represents a bona fide gift made by the Reporting Person.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001415889-23-008928 · form4-05302023_100500.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 411,794

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $10.79 to $10.94 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.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-23-000089 · ownership.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333,435

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 33,334 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.

SEC source: 0001079973-22-001228 · ownership.xml · derivative · entry 6

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 378,334 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.

F4 · derivative.exercise_price: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into 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 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. 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.

F4 · price: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into 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 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. 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.

F4 · derivative.exercise_date: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into 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 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. 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.

F4 · derivative.expiration_date: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into 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 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. 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.

F4 · derivative.underlying_shares: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into 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 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. 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.

SEC source: 0001079973-22-001228 · ownership.xml · derivative · entry 5

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,666 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 · derivative.exercise_price: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · price: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.exercise_date: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.expiration_date: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F1 · derivative.underlying_shares: The reported transactions represent settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 4

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,811,896

F5 · shares: Represents the RSA award granted to the Reporting Person, as compensation for serving as the Issuer's Chief Executive 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: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,128

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 · shares: Represents the conversion, as authorized by the Committee, of all outstanding performance-based RSUs granted to the Reporting Person under the performance-incentive plan established by the Committee under the equity plan into 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 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. 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.

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 461,794

F3 · shares: Represents shares withheld by the Issuer in net settlement in connection with the settlement of vested RSUs, as permitted under the Issuer's equity plan and approved by the Committee.

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-001228 · ownership.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 485,127

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 settlement by the Issuer of the vested portion of the restricted stock unit awards ("RSUs") granted to the Reporting Person as compensation under the Issuer's equity plan. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee").

F2 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000852 · ownership.xml · derivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,666

Underlying: Common Stock · 16,666 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 16,666 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 Plan and as approved by the Committee. Accordingly, the award of 16,666 Restricted Stock Units reported on this Form 4 represents the vesting of 16,666 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 16,666 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 Plan and as approved by the Committee. Accordingly, the award of 16,666 Restricted Stock Units reported on this Form 4 represents the vesting of 16,666 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 16,666 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 Plan and as approved by the Committee. Accordingly, the award of 16,666 Restricted Stock Units reported on this Form 4 represents the vesting of 16,666 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 eported transaction.

SEC source: 0001079973-22-000851 · ownership.xml · derivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,416

Underlying: Common Stock · 16,666 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 16,666 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 Plan and as approved by the Committee. Accordingly, the award of 16,666 Restricted Stock Units reported on this Form 4 represents the vesting of 16,666 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 16,666 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 Plan and as approved by the Committee. Accordingly, the award of 16,666 Restricted Stock Units reported on this Form 4 represents the vesting of 16,666 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 16,666 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 Plan and as approved by the Committee. Accordingly, the award of 16,666 Restricted Stock Units reported on this Form 4 represents the vesting of 16,666 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 eported transaction.

SEC source: 0001079973-22-000435 · ownership.xml · derivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 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 30,000 PSUs had been achieved as of March 31, 2022. Therefore, 30,000 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 30,000 Restricted Stock Units reported on this Form 4 represents the vesting of 30,000 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 30,000 PSUs had been achieved as of March 31, 2022. Therefore, 30,000 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 30,000 Restricted Stock Units reported on this Form 4 represents the vesting of 30,000 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: 0001079973-22-000181 · ownership.xml · derivative · entry 6

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 248,892 shares

Expires not disclosed

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

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

F6 · derivative.exercise_date: Represents the settlement by the Issuer of the following vested time-based RSU awards granted to the Reporting Person under the Plan: (i) 288,617 RSUs granted on February 27, 2020, as compensation for the Reporting Person's service as a member of the Issuer's Board of Directors for Fiscal Years 2019 and 2020, which vested and became eligible for settlement as of February 15, 2022; (ii) 25,000 RSUs granted on February 8, 2021, pursuant to the Reporting Person's Executive Employment Agreement with the Issuer, which vested in equal quarterly intervals following the grant date.

F6 · derivative.expiration_date: Represents the settlement by the Issuer of the following vested time-based RSU awards granted to the Reporting Person under the Plan: (i) 288,617 RSUs granted on February 27, 2020, as compensation for the Reporting Person's service as a member of the Issuer's Board of Directors for Fiscal Years 2019 and 2020, which vested and became eligible for settlement as of February 15, 2022; (ii) 25,000 RSUs granted on February 8, 2021, pursuant to the Reporting Person's Executive Employment Agreement with the Issuer, which vested in equal quarterly intervals following the grant date.

F3 · balance_after: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000181 · ownership.xml · derivative · entry 5

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,867

Underlying: Common Stock · 100,000 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: Represents the settlement for taxes by the Issuer of 100,000 vested performance-based RSUs, which vested upon the Committee's certification of the Issuer's achievement of certain of the performance objectives detailed in the August 12, 2021 performance-based equity award agreement between the Reporting Person and the Issuer.

F5 · derivative.expiration_date: Represents the settlement for taxes by the Issuer of 100,000 vested performance-based RSUs, which vested upon the Committee's certification of the Issuer's achievement of certain of the performance objectives detailed in the August 12, 2021 performance-based equity award agreement between the Reporting Person and the Issuer.

F3 · balance_after: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000181 · ownership.xml · nonDerivative · entry 4

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 438,461

F4 · shares: Represents net settlement in connection with the conversion of vested RSUs into shares of the Issuer's Common Stock based on the price per share of the Issuer's Common Stock as of the conversion, as permitted under the 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000181 · ownership.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 560,894

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") awarded to the Reporting Person as compensation 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 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000181 · ownership.xml · nonDerivative · entry 2

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 316,027

F4 · shares: Represents net settlement in connection with the conversion of vested RSUs into shares of the Issuer's Common Stock based on the price per share of the Issuer's Common Stock as of the conversion, as permitted under the 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000181 · ownership.xml · nonDerivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 366,027

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") awarded to the Reporting Person as compensation 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 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-22-000082 · ownership.xml · derivative · entry 1

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,867

Underlying: Common Stock · 50,000 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 50,000 PSUs had been achieved. Accordingly, the 50,000 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 50,000 PSUs had been achieved. Accordingly, the 50,000 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.

SEC source: 0001079973-21-001215 · ownership.xml · derivative · entry 8

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,867

Underlying: Common Stock · 12,500 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_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.

F4 · 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.

F8 · derivative.exercise_date: The conversion of 12,500 RSUs reported in Table II represents the settling of the vested portion of the 25,000 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.

F8 · derivative.expiration_date: The conversion of 12,500 RSUs reported in Table II represents the settling of the vested portion of the 25,000 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.

SEC source: 0001079973-21-001215 · ownership.xml · derivative · entry 7

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,367

Underlying: Common Stock · 50,000 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.

F4 · 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.

F4 · 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 50,000 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 50,000 of the PSUs granted to the Reporting Person had been achieved.

F7 · derivative.expiration_date: The conversion of 50,000 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 50,000 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: 0001079973-21-001215 · ownership.xml · nonDerivative · entry 5

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 266,027

F5 · shares: Represents net settlement in connection with the conversion of 50,000 vested PSUs and 12,500 vested RSUs, 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-21-001215 · ownership.xml · nonDerivative · entry 4

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footntoe

Disclosed balance after: 272,277

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 · 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.

SEC source: 0001079973-21-001215 · ownership.xml · nonDerivative · entry 3

Les Jason · CIK 0001721702 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 259,777

F5 · shares: Represents net settlement in connection with the conversion of 50,000 vested PSUs and 12,500 vested RSUs, 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.

F3 · ownership.nature: Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021.