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