<SEC-DOCUMENT>0001079973-21-001208.txt : 20211207
<SEC-HEADER>0001079973-21-001208.hdr.sgml : 20211207
<ACCEPTANCE-DATETIME>20211207210827
ACCESSION NUMBER:		0001079973-21-001208
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20211203
FILED AS OF DATE:		20211207
DATE AS OF CHANGE:		20211207

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Brooks Megan M.
		CENTRAL INDEX KEY:			0001855229

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33675
		FILM NUMBER:		211477411

	MAIL ADDRESS:	
		STREET 1:		C/O RIOT BLOCKCHAIN, INC.
		STREET 2:		202 6TH STREET, SUITE 401
		CITY:			CASTLE ROCK
		STATE:			CO
		ZIP:			80104

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Riot Blockchain, Inc.
		CENTRAL INDEX KEY:			0001167419
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374]
		IRS NUMBER:				841553387
		STATE OF INCORPORATION:			NV
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		202 6TH STREET, SUITE 401
		CITY:			CASTLE ROCK
		STATE:			CO
		ZIP:			80104
		BUSINESS PHONE:		303-794-2000

	MAIL ADDRESS:	
		STREET 1:		202 6TH STREET, SUITE 401
		CITY:			CASTLE ROCK
		STATE:			CO
		ZIP:			80104

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Bioptix, Inc.
		DATE OF NAME CHANGE:	20161201

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Venaxis, Inc.
		DATE OF NAME CHANGE:	20121218

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	AspenBio Pharma, Inc.
		DATE OF NAME CHANGE:	20051110
</SEC-HEADER>
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<SEQUENCE>1
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        <issuerName>Riot Blockchain, Inc.</issuerName>
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            <rptOwnerName>Brooks Megan M.</rptOwnerName>
        </reportingOwnerId>
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            <rptOwnerStreet2>202 6TH STREET, STE 401</rptOwnerStreet2>
            <rptOwnerCity>CASTLE ROCK</rptOwnerCity>
            <rptOwnerState>CO</rptOwnerState>
            <rptOwnerZipCode>80104</rptOwnerZipCode>
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            <officerTitle>Chief Operating Officer</officerTitle>
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    <footnotes>
        <footnote id="F1">Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the &quot;Plan&quot;) each time-based restricted stock unit (&quot;RSUs&quot;) and each performance-based restricted stock unit (&quot;PSUs&quot;) represents a contingent right to receive one share of the Issuer's common stock, no par value per share, (&quot;Common Stock&quot;) subject to any net settlement permitted under the Plan and approved by the Issuer's Compensation and Human Resources Committee (the &quot;Committee&quot;), following vesting and settlement by the Issuer.</footnote>
        <footnote id="F2">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.</footnote>
        <footnote id="F3">Represents net settlement in connection with the conversion of 39,999 vested PSUs and 3,000 vested RSUs into shares of the Issuer's Common Stock, as permitted by the Plan and approved by the Committee.</footnote>
        <footnote id="F4">On August 12, 2021, the Issuer and the Reporting Person entered into a Performance Restricted Stock Unit Award Agreement, (the &quot;Award Agreement&quot;) pursuant to which the Issuer granted the Reporting Person PSUs, contingent upon the Issuer's achievement of certain performance criteria during the performance period ending on December 31, 2023. On December 3, 2021, the Committee determined that, as of the end of the third fiscal quarter of 2021, the performance criteria for 6,666 PSUs granted to the Reporting Person under the Award Agreement had been achieved. Accordingly, the issuance of 6,666 PSUs reported on this form became vested and eligible to be settled by the Issuer as restricted stock units in accordance with the Plan and the Award Agreement.</footnote>
        <footnote id="F5">The conversion of 39,999 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 39,999 of the PSUs granted to the Reporting Person had been achieved.</footnote>
        <footnote id="F6">The conversion of 3,000 vested RSUs reported in Table II relates to the settlement by the Issuer of the remaining unsettled portion of the 6,000 RSUs granted to the Reporting Person on April 6, 2021, which vested in four quarterly installments after the grant date.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/ Megan M. Brooks</signatureName>
        <signatureDate>2021-12-07</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</SEC-DOCUMENT>
