0001415889-24-000796.txt : 20240105 0001415889-24-000796.hdr.sgml : 20240105 20240105193023 ACCESSION NUMBER: 0001415889-24-000796 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240103 FILED AS OF DATE: 20240105 DATE AS OF CHANGE: 20240105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yi Soo il Benjamin CENTRAL INDEX KEY: 0001757880 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 24517986 MAIL ADDRESS: STREET 1: C/O RIOT PLATFORMS, INC. STREET 2: 3855 AMBROSIA STREET, SUITE 301 CITY: CASTLE ROCK STATE: CO ZIP: 80109 FORMER NAME: FORMER CONFORMED NAME: YI SOO IL BENJAMIN DATE OF NAME CHANGE: 20181101 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Riot Platforms, Inc. CENTRAL INDEX KEY: 0001167419 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] ORGANIZATION NAME: 09 Crypto Assets 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 form4-01052024_070114.xml X0508 4 2024-01-03 0001167419 Riot Platforms, Inc. RIOT 0001757880 Yi Soo il Benjamin C/O RIOT PLATFORMS, INC. 3855 AMBROSIA STREET, SUITE 301 CASTLE ROCK CO 80109 true true false false EXECUTIVE CHAIRMAN 0 Common Stock 2024-01-03 4 A 0 5000000 0 A 7385344 D Common Stock 1000000 I See Footnote 'Represents the award of performance-based restricted shares of the Issuer's Common Stock, no par value per share, ("Common Stock") awarded to the Reporting Person, under the Issuer's Long-Term Incentive Program (the "LTIP") established, as of July 13, 2023, by the Issuer's Compensation and Human Resources Committee of its Board of Directors (the "Committee") under the Issuer's 2019 Equity Incentive Plan, as amended, (the "Equity Plan") for the period ending July 31, 2026 (the "Award Term"), pursuant to an equity award agreement between the Issuer and Reporting Person (the "Award Agreement"). The number of restricted shares of Common Stock reported represents the maximum achievable award under the LTIP (200% of the target award). As set forth in the Award Agreement, the final number of shares of Common Stock to vest will be determined based on the Issuer's achievement, as of the end of the Award Term, of certain performance objectives established for it by the Committee under the LTIP, subject to the the Reporting Person's continued service with the Issuer through vesting. Pursuant to the Award Agreement, the shares are subject to certain restrictions, including on transfer, and are at risk of forfeiture until vested. Excludes 1,000,000 shares held in trust by the Reporting Person. Shares held in trust by the Reporting Person in a Cayman Islands trust company established by the Reporting Person, as of January 16, 2023, Acorn Capital Foundation Limited company (the "Trust"). The Reporting Person is the sole settlor, director and beneficiary of the Trust, and retains all rights with respect to the shares held therein. /s/ Alexander K. Travis, Attorney-in-Fact for Benjamin Yi 2024-01-05