0001415889-23-009303.txt : 20230605 0001415889-23-009303.hdr.sgml : 20230605 20230605213112 ACCESSION NUMBER: 0001415889-23-009303 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230601 FILED AS OF DATE: 20230605 DATE AS OF CHANGE: 20230605 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Les Jason CENTRAL INDEX KEY: 0001721702 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 23994730 MAIL ADDRESS: STREET 1: C/O RIOT PLATFORMS, INC. STREET 2: 3855 AMBROSIA STREET, SUITE 301 CITY: CASTLE ROCK STATE: CO ZIP: 80109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Riot Platforms, Inc. CENTRAL INDEX KEY: 0001167419 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] 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: Riot Blockchain, Inc. DATE OF NAME CHANGE: 20171004 FORMER COMPANY: FORMER CONFORMED NAME: Bioptix, Inc. DATE OF NAME CHANGE: 20161201 FORMER COMPANY: FORMER CONFORMED NAME: Venaxis, Inc. DATE OF NAME CHANGE: 20121218 4 1 form4-06062023_010609.xml X0407 4 2023-06-01 0001167419 Riot Platforms, Inc. RIOT 0001721702 Les Jason C/O RIOT PLATFORMS, INC. 3855 AMBROSIA STREET, SUITE 301 CASTLE ROCK CO 80109 true true false false CHIEF EXECUTIVE OFFICER 0 Common Stock 2023-06-01 4 S 0 50000 11.63 D 356794 I See Footnote Common Stock 2023-06-01 5 G 0 5000 0 D 351794 I See Footnote Common Stock 2023-06-01 4 F 0 767478 12.41 D 2565957 D The shares were sold on the indicated date in a series of multiple transactions at prices ranging from $11.6159 to $11.6822, 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. Shares held of record in trust by Jason M. Les, Trustee of The Jason M. Les Trust, dated March 8, 2021. The reported disposition represents a bona fide gift made by the Reporting Person. Shares surrendered to the Issuer, in accordance with Rule 16b-3 under the Exchange Act, to cover tax liabilities incident to the vesting of 1,485,884 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. /s/ Alexander K. Travis, Attorney-in-Fact for Jason Les 2023-06-05