Marleau Hubert

SEC source: 0001415889-25-007019 · form4-03052025_100331.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $9.5701 to $9.595, 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.

SEC source: 0001415889-24-021417 · form4-08152024_090801.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,000

F1 · price: The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $7.70 to $7.705, 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.

SEC source: 0001415889-24-019220 · form4-07032024_050712.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,861

F1 · shares: Represents the unvested award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors through July 1, 2025. Each RSU represents the contingent right to receive one share of the Issuer's common stock, no par value per share ("Common Stock"), upon vesting and settlement by the Issuer. According to the equity award agreement covering the award, the RSUs are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

F2 · balance_after: Number of shares beneficially owned by the Reporting Person has been adjusted up by one share of Common Stock to correct for a rounding error in the previously reported total.

SEC source: 0001415889-24-000474 · form4-01042024_010143.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,860

F1 · shares: Represents the unvested award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") as of the indicated date, in connection with service on the Issuer's Board of Directors (the "Board") through 2024. Each RSU represents the contingent right to receive one share of the Issuer's common stock, no par value per share, ("Common Stock") upon vesting and settlement by the Issuer. According to the equity award agreement covering the award, the RSUs are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting.

SEC source: 0001415889-23-012448 · form4-08222023_120804.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,860

F1 · price: These shares of the Issuer's Common Stock were sold in a series of multiple transactions at prices ranging from $11.70 to $12.70 per share, inclusive. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001415889-23-006143 · form4-04042023_100452.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,025

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 27,860 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: 0001079973-23-000017 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,955

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 30,985 restricted shares of the Issuer's Common Stock (3,125 shares as of December 31, 2022 and 27,860 shares as of January 1, 2023) 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: 0001079973-22-001280 · ownership.xml · nonDerivative · entry 2

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,448

F2 · shares: Shares surrendered to the Issuer to cover tax liabilities incident to the vesting of 27,860 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person pursuant to a restricted stock award granted under the Issuer's equity incentive plan, as authorized and approved by the Committee and previously reported on Form 4 by the Reporting Person in accordance with Rule 16b-3 under the Exchange Act.

SEC source: 0001079973-22-001280 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,378

F1 · shares: Shares surrendered to the Issuer to cover tax liabilities incident to the vesting of 3,125 restricted shares of the Issuer's Common Stock previously issued to the Reporting Person pursuant to a restricted stock award granted under the Issuer's equity incentive plan, as authorized and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"), which administers the equity plan, and previously reported on Form 4 by the Reporting Person in accordance with Rule 16b-3 under the Exchange Act.

SEC source: 0001079973-22-001226 · ownership.xml · derivative · entry 5

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,250 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 the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F2 · derivative.exercise_date: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F2 · derivative.expiration_date: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

F2 · derivative.underlying_shares: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

SEC source: 0001079973-22-001226 · ownership.xml · derivative · entry 4

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. 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 the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. 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 the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. 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 the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. 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: 0001079973-22-001226 · ownership.xml · nonDerivative · entry 3

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,941

F3 · shares: Represents the RSA award granted to the Reporting Person, in connection with his service on the Board, pursuant to an RSA award agreement with the Issuer. These 111,441 shares are eligible to vest, if at all, in four equal quarterly tranches after the grant, subject to the Reporting Person's continued service with the Issuer through vesting.

SEC source: 0001079973-22-001226 · ownership.xml · nonDerivative · entry 2

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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.

F2 · shares: Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting.

SEC source: 0001079973-22-001226 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

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

F1 · shares: The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. 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: 0001079973-22-000398 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: The sale reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2021.

SEC source: 0001079973-22-000307 · ownership.xml · derivative · entry 2

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 2,500 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.

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, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee, upon settlement by the Issuer in accordance with the procedures of the Plan.

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, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee, upon settlement by the Issuer in accordance with the procedures of the Plan.

F3 · derivative.exercise_date: The conversion of 2,500 vested RSUs reported in Table II relates to the settlement by the Issuer of the final tranche of the 12,500 RSUs granted to the Reporting Person under the Plan as of the grant date, February 9, 2021 as compensation for the Reporting Person's service as a member of the Issuer's Board of Directors for Fiscal Year 2021. Of these 12,500 RSUs, 2,500 RSUs vested as of the grant date, and the remaining 10,000 RSUs vested in four quarterly installments of 2,500 RSUs after the grant date.

F3 · derivative.expiration_date: The conversion of 2,500 vested RSUs reported in Table II relates to the settlement by the Issuer of the final tranche of the 12,500 RSUs granted to the Reporting Person under the Plan as of the grant date, February 9, 2021 as compensation for the Reporting Person's service as a member of the Issuer's Board of Directors for Fiscal Year 2021. Of these 12,500 RSUs, 2,500 RSUs vested as of the grant date, and the remaining 10,000 RSUs vested in four quarterly installments of 2,500 RSUs after the grant date.

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

SEC source: 0001079973-22-000307 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

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 · 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, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee, upon settlement by the Issuer in accordance with the procedures of the Plan.

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

SEC source: 0001079973-22-000328 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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 · balance_after: This Form 4/A is being filed solely to correct an administrative error on the original Form 4 report filed on March 18, 2022 (the "Original Form 4"), which incorrectly reported the Reporting Person's beneficial ownership of shares of the Issuer's Common Stock following the conversion of 2,500 vested restricted stock units ("RSUs") into 2,500 shares of the Issuer's Common Stock.

F2 · balance_after: Represents the correct total direct and indirect ownership of the indicated security of the Issuer held by the Reporting Person following the reported conversion of 2,500 vested RSUs as of March 16, 2022.

SEC source: 0001079973-22-000052 · ownership.xml · derivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 12,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Vested restricted stock units ("RSUs") granted under the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the "Plan") covert into shares of the Issuer's Common Stock, no par value per share, on a one-for-one basis upon settlement by the Issuer in accordance with the procedures of the Plan.

F2 · price: These 12,500 RSUs were awarded as compensation for the Reporting Person's service as an independent director on the Issuer's Board of Directors for the year ending December 31, 2022, as approved by the Issuer's Compensation and Human Resources Committee on January 10, 2022. These 12,500 RSUs are eligible to vest in four equal quarterly installments of 3,125 RSUs following the grant date.

F2 · derivative.exercise_date: These 12,500 RSUs were awarded as compensation for the Reporting Person's service as an independent director on the Issuer's Board of Directors for the year ending December 31, 2022, as approved by the Issuer's Compensation and Human Resources Committee on January 10, 2022. These 12,500 RSUs are eligible to vest in four equal quarterly installments of 3,125 RSUs following the grant date.

F2 · derivative.expiration_date: These 12,500 RSUs were awarded as compensation for the Reporting Person's service as an independent director on the Issuer's Board of Directors for the year ending December 31, 2022, as approved by the Issuer's Compensation and Human Resources Committee on January 10, 2022. These 12,500 RSUs are eligible to vest in four equal quarterly installments of 3,125 RSUs following the grant date.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of the security held by the Reporting Person immediately following the issuance reported by this Form 4.

SEC source: 0001079973-21-001245 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001079973-21-001216 · ownership.xml · derivative · entry 2

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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 · 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, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee upon settlement by the Issuer in accordance with the procedures of the Plan.

F3 · derivative.exercise_date: The conversion of 10,000 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 12,500 RSUs granted under the Plan to the Reporting Person on February 9, 2021. These 12,500 RSUs included 2,500 RSUs vested as of the grant date, with the remaining 10,000 RSUs eligible to vest in four quarterly installments after the grant date.

F3 · derivative.expiration_date: The conversion of 10,000 vested RSUs reported in Table II relates to the settlement by the Issuer of the vested portion of the 12,500 RSUs granted under the Plan to the Reporting Person on February 9, 2021. These 12,500 RSUs included 2,500 RSUs vested as of the grant date, with the remaining 10,000 RSUs eligible to vest in four quarterly installments after the grant date.

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

SEC source: 0001079973-21-001216 · ownership.xml · nonDerivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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

F1 · 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, subject to any net settlement permitted by the Plan and approved by the Issuer's Compensation and Human Resources Committee upon settlement by the Issuer in accordance with the procedures of the Plan.

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

SEC source: 0001079973-21-000084 · ownership.xml · derivative · entry 1

Marleau Hubert · CIK 0001833575 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 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.

F2 · price: On February 9, 2021, in connection with the Reporting Person's service as a director of the Corporation, the Reporting Person was granted an award of 12,500 RSUs under the Plan, with 2,500 RSUs vested immediately as of the grant date, and with the remaining 10,000 RSUs eligible to vest in four (4) equal installments as of the last day of each fiscal quarter following the grant date.

F2 · derivative.exercise_date: On February 9, 2021, in connection with the Reporting Person's service as a director of the Corporation, the Reporting Person was granted an award of 12,500 RSUs under the Plan, with 2,500 RSUs vested immediately as of the grant date, and with the remaining 10,000 RSUs eligible to vest in four (4) equal installments as of the last day of each fiscal quarter following the grant date.

F2 · derivative.expiration_date: On February 9, 2021, in connection with the Reporting Person's service as a director of the Corporation, the Reporting Person was granted an award of 12,500 RSUs under the Plan, with 2,500 RSUs vested immediately as of the grant date, and with the remaining 10,000 RSUs eligible to vest in four (4) equal installments as of the last day of each fiscal quarter following the grant date.

F3 · balance_after: Represents the total direct and indirect beneficial ownership of the security held by the Reporting Person immediately following the issuance reported by this Form 4.