<SEC-DOCUMENT>0001079973-22-000848.txt : 20220715
<SEC-HEADER>0001079973-22-000848.hdr.sgml : 20220715
<ACCEPTANCE-DATETIME>20220715215733
ACCESSION NUMBER:		0001079973-22-000848
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20220713
FILED AS OF DATE:		20220715
DATE AS OF CHANGE:		20220715

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:		221088034

	MAIL ADDRESS:	
		STREET 1:		C/O RIOT BLOCKCHAIN, INC.
		STREET 2:		3855 AMBROSIA STREET, STE 301
		CITY:			CASTLE ROCK
		STATE:			CO
		ZIP:			80109

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:		3855 AMBROSIA STREET, SUITE 301
		CITY:			CASTLE ROCK
		STATE:			CO
		ZIP:			80109
		BUSINESS PHONE:		303-794-2000

	MAIL ADDRESS:	
		STREET 1:		3855 AMBROSIA STREET, SUITE 301
		CITY:			CASTLE ROCK
		STATE:			CO
		ZIP:			80109

	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>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
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        <issuerName>Riot Blockchain, Inc.</issuerName>
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            <rptOwnerName>Brooks Megan M.</rptOwnerName>
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            <rptOwnerStreet2>3855 AMBROSIA STREET, STE 301</rptOwnerStreet2>
            <rptOwnerCity>CASTLE ROCK</rptOwnerCity>
            <rptOwnerState>CO</rptOwnerState>
            <rptOwnerZipCode>80109</rptOwnerZipCode>
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    <footnotes>
        <footnote id="F1">Pursuant to the Riot Blockchain, Inc. 2019 Equity Incentive Plan, as amended, (the &quot;Equity Plan&quot;) each service-based restricted stock unit (&quot;RSUs&quot;) and 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;) following vesting and settlement by the Issuer. Under the Equity Plan, the Issuer may elect to satisfy any tax withholding obligations due in connection with the conversion of vested RSUs and PSUs via net settlement of the vested award by withholding shares of Common Stock to cover the tax due, as permitted under the Equity Plan and approved by the Issuer's Compensation and Human Resources Committee (the &quot;Committee&quot;).</footnote>
        <footnote id="F2">Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction.</footnote>
        <footnote id="F3">Represents net settlement for taxes due in connection with the conversion reported on the foregoing line of this report.</footnote>
        <footnote id="F4">Represents the vesting and settlement by the Issuer of 13,333 PSUs, representing the vested portion of the PSUs awarded to the Reporting Person on August 12, 2021 under the performance incentive plan adopted by the Committee under the Equity Plan (the &quot;Performance Plan&quot;). These PSUs vested and became eligible to be settled in shares of Common Stock as of July 13, 2022 upon the Committee's certification of the Issuer's achievement, as of June 30, 2022, of certain performance milestones specified by the Committee under the Performance Plan.</footnote>
        <footnote id="F5">This conversion represents the settlement by the Issuer following vesting of 1,500 RSUs of the 6,000 RSUs awarded to the Reporting Person under the Equity Plan on November 5, 2021, which were eligible to vest in four approximately equal quarterly installments following the grant date, subject to the terms of the Equity Plan and the applicable award agreement.</footnote>
        <footnote id="F6">This conversion represents the settlement by the Issuer following vesting of the remaining 1,500 RSUs of the 6,000 RSUs awarded to the Reporting Person under the Equity Plan on November 5, 2021. Pursuant to the separation and release agreement, dated as of March 21, 2022, between the Reporting person and the Issuer (the &quot;Separation Agreement&quot;), the vesting of these 1,500 RSUs was accelerated to the end of the transition services period specified under the Separation Agreement, as permitted under the Equity Plan and approved by the Committee.</footnote>
        <footnote id="F7">This conversion represents the settlement by the Issuer following vesting of the remaining third of the 75,000 RSUs granted under the Equity Plan to the Reporting Person on March 21, 2022, as compensation for services performed under the Separation Agreement.</footnote>
    </footnotes>

    <remarks>Effective as of April 7, 2022, the Reporting Person resigned as the Issuer's Chief Operating Officer and from all other positions with the Issuer pursuant to the Separation Agreement; however, as part of the Separation Agreement, RSUs and PSUs granted to the Reporting Person under the Plan are eligible to continue vesting through the Transition Period specified in the Separation Agreement.</remarks>

    <ownerSignature>
        <signatureName>/s/ Megan M. Brooks</signatureName>
        <signatureDate>2022-07-15</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</SEC-DOCUMENT>
