0001415889-24-000800.txt : 20240105 0001415889-24-000800.hdr.sgml : 20240105 20240105203007 ACCESSION NUMBER: 0001415889-24-000800 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: Yee Colin M. CENTRAL INDEX KEY: 0001932352 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33675 FILM NUMBER: 24518060 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] 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_080101.xml X0508 4 2024-01-03 0001167419 Riot Platforms, Inc. RIOT 0001932352 Yee Colin M. C/O RIOT PLATFORMS, INC. 3855 AMBROSIA STREET, SUITE 301 CASTLE ROCK CO 80109 false true false false EVP, CFO 0 Restricted Stock Units 0 2024-01-03 4 A 0 1000000 0 A Common Stock 1000000 1369639 D Represents the award of performance-based restricted stock units ("RSUs") 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 RSUs 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 RSUs 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 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. Pursuant to the Award Agreement, the reported RSUs are eligible to vest as of the end of the Award Term, based on the Issuer's achievement of the performance objectives established for it under the LTIP by the Committee, subject to the Reporting Person's continuous service with the Issuer through vesting. Each unvested RSU represents the contingent right to receive one (1) share of the Issuer's common stock, no par value per share, ("Common Stock") upon vesting and settlement by the Issuer in accordance with the Award Agreement and Equity Plan. The final number of shares of Common Stock to be issued to the Reporting Person will depend on the number of RSUs that vest as of the end of the Award Term, as well as any net settlement of such vested RSUs to satisfy any tax obligations due in connection with such vesting, as permitted by the Committee. /s/ Alexander K. Travis, Attorney-in-Fact for Colin M. Yee 2024-01-05