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