KAPLAN ANDREW J

SEC source: 0001493152-26-027268 · ownership.xml · nonDerivative · entry 3

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,002

SEC source: 0001493152-26-027268 · ownership.xml · nonDerivative · entry 2

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001493152-26-027268 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500

SEC source: 0001641172-20-000025 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,750

F1 · shares: Represents restricted shares of common stock awarded to the reporting person on November 2, 2020 pursuant to the U.S. Gold Corp. 2020 Stock Incentive Plan. Such shares vested immediately upon grant.

SEC source: 0001493152-20-018110 · ownership.xml · derivative · entry 3

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2022-12-22

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on December 22, 2017 and vested 100% on December 22, 2018. The post-termination exercise period was extended to December 22, 2022.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on December 22, 2017 and vested 100% on December 22, 2018. The post-termination exercise period was extended to December 22, 2022.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on December 22, 2017 and vested 100% on December 22, 2018. The post-termination exercise period was extended to December 22, 2022.

SEC source: 0001493152-20-018110 · ownership.xml · derivative · entry 2

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2022-12-22

F3 · derivative.exercise_price: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split effected on March 19, 2020.

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on December 22, 2017 and vested 100% on December 22, 2018. The post-termination exercise period was extended to December 22, 2022.

F3 · shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split effected on March 19, 2020.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on December 22, 2017 and vested 100% on December 22, 2018. The post-termination exercise period was extended to December 22, 2022.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on December 22, 2017 and vested 100% on December 22, 2018. The post-termination exercise period was extended to December 22, 2022.

F3 · derivative.underlying_shares: The securities and exercise prices shown have been adjusted from the time of grant to reflect the Issuer's 1-for-10 reverse stock split effected on March 19, 2020.

SEC source: 0001493152-20-018110 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,300

F1 · shares: Represents restricted shares of common stock awarded to the reporting person on September 17, 2020 pursuant to the U.S. Gold Corp. 2020 Stock Incentive Plan. Such shares vested immediately upon grant.

SEC source: 0001493152-20-014523 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,800

F1 · shares: Represents restricted shares of common stock awarded to the reporting person on August 3, 2020 pursuant to the U.S. Gold Corp. 2020 Stock Incentive Plan. Such shares vested immediately upon grant.

SEC source: 0001493152-20-007659 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,350

F1 · shares: Represents restricted shares of common stock awarded to the reporting person on May 1, 2020 pursuant to the U.S. Gold Corp. 2020 Stock Incentive Plan. Such shares vested immediately upon grant.

F2 · balance_after: On March 19, 2020, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split on a post-split basis.

SEC source: 0001493152-20-001645 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,000

F1 · shares: Represents restricted shares of common stock awarded to the reporting person on February 3, 2020 pursuant to the U.S. Gold Corp. 2020 Stock Incentive Plan. Such shares vested immediately upon grant.

SEC source: 0001493152-19-014366 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,500

F1 · shares: Represents restricted shares of common stock awarded to the reporting person on September 18, 2019 pursuant to the U.S. Gold Corp. 2020 Stock Incentive Plan. Such shares vested immediately upon grant.

F2 · balance_after: Includes a restricted stock award of 12,000 shares in connection with the reporting person's appointment as a Director of U.S. Gold Corp. (the "Issuer"), which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance, subject to the reporting person's continued service with the Issuer on each respective vesting date.

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

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires not disclosed

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

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

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

F4 · derivative.expiration_date: Not applicable.

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

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

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

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

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

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

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

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

SEC source: 0001493152-18-013329 · ownership.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,500

F1 · security: Represents a restricted stock grant issued pursuant to the Issuer's 2017 Equity Incentive Plan which vests 50% on the date of issuance and 50% on the one-year anniversary of the date of issuance.

F2 · balance_after: Includes a restricted stock award of 12,000 shares in connection with the Reporting Person's appointment as a Director of the Issuer, which shall vest in 24 equal monthly installments over a two year period, beginning on the one month anniversary of the date of issuance, subject to the reporting person's continued service with the Issuer on each respective vesting date.

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

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,500

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

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

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

SEC source: 0001493152-17-015133 · form4.xml · derivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 50,000 shares

Expires 2022-12-22

F2 · price: Option Award is compensation for the Reporting Person's service as a director of the Issuer.

F1 · derivative.exercise_date: Represents an option award under the U.S. Gold Corp. Equity Incentive Plan (the "Option Award"), of which one-half shall vest immediately and one-half shall vest on the one year anniversary of the date of issuance.

F3 · balance_after: Includes options vested or to be vested within 60 days pursuant to the Option Award.

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

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,916

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

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

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

SEC source: 0001144204-17-002494 · v456997_4.xml · derivative · entry 3

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 97,837 shares

Expires 2017-01-12

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 · reported_value: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · price: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · derivative.exercise_date: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · derivative.expiration_date: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · derivative.underlying_shares: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

SEC source: 0001144204-17-002494 · v456997_4.xml · derivative · entry 2

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 97,837 shares

Expires 2017-01-12

F1 · reported_value: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · derivative.exercise_date: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · derivative.expiration_date: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · derivative.underlying_shares: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

F1 · valueOwnedAfter: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

SEC source: 0001144204-17-002494 · v456997_4.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,288

F1 · shares: On November 3, 2016, the reporting person purchased a 9% convertible promissory note for $100,000 (the "Note") that was convertible into shares of common stock . On January 12, 2017, in connection with the completion of the Qualified Financing (as defined in the Note), the outstanding balance of the Note, including principal and accrued interest of $100,000 and $1,750.68, respectively, automatically converted into 97,837 shares of common stock at a conversion price per share of $1.04.

SEC source: 0001415889-16-007541 · form4-12052016_041210.xml · nonDerivative · entry 1

KAPLAN ANDREW J · CIK 0001582246 · FORMER DIRECTOR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,625

F1 · shares: Represents a restricted stock award (the "Restricted Stock Award") pursuant to the Issuer's 2017 Equity Incentive Plan (the "Plan"), which Plan is subject to stockholder approval.

F1 · price: Represents a restricted stock award (the "Restricted Stock Award") pursuant to the Issuer's 2017 Equity Incentive Plan (the "Plan"), which Plan is subject to stockholder approval.

F2 · balance_after: Represents (i) the Restricted Stock Award, (ii) a restricted stock award of 8,333 shares granted pursuant to the Issuer's 2014 Equity Incentive Plan and (iii) a restricted stock award of 7,292 shares granted pursuant to the Issuer's 2016 Equity Incentive Plan of which 50% vested on April 25, 2016 and 50% vested on December 1, 2016.