McGonegal Jeffrey's Form 4 filing
Riot Platforms, Inc. (RIOT) · filed Dec 7, 2021
- Accession no.
- 0001079973-21-001217
- Filed
- Dec 7, 2021
- Trade date
- Dec 3-7, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.40M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| McGonegal JeffreyCIK 0001187604 | Officer (Chief Financial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 6, 2021 | Common Stock | MOption exerciseAcquired | +44,000 | $0.00F1 | $0 | 343,367 | Direct | |
| Dec 6, 2021 | Common Stock | FTax withholdingDisposed | −18,040 | $28.64 | −$516,665.6 | 325,327 | Direct | |
| Dec 6, 2021 | Common Stock | MOption exerciseAcquired | +10,000 | $0.00F1 | $0 | 335,327 | Direct | |
| Dec 6, 2021 | Common Stock | FTax withholdingDisposed | −4,100 | $28.64 | −$117,424 | 331,227 | Direct | |
| Dec 7, 2021 | Common Stock | MOption exerciseAcquired | +12,000 | $4.09 | +$49,080 | 343,227 | Direct | |
| Dec 6, 2021 | Common Stock | FTax withholdingDisposed | −1,714 | $28.64 | −$49,088.96 | 341,513 | Direct | |
| Dec 6, 2021 | Common Stock | SSaleDisposed | −50,000 | $28.00 | −$1,400,000 | 291,513 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 3, 2021 | Common Stock | AGrant or awardAcquired | +7,333 | $0.00F1 | $0 | 59,000 | Direct | |
| Dec 6, 2021 | Common Stock | MOption exerciseDisposed | −44,000 | $0.00F1 | $0 | 15,000 | Direct | |
| Dec 6, 2021 | Common Stock | MOption exerciseDisposed | −10,000 | $0.00F1 | $0 | 5,000 | Direct | |
| Dec 6, 2021 | Common Stock | MOption exerciseDisposed | −12,000 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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.
Referenced by the price of 2 transactions in Table I and 3 transactions in Table II.