Form 4 for RIOT Riot Platforms, Inc.
Accepted 2022-09-28 00:00:00 ET · period of report 2022-09-26 · accession 0001079973-22-001201 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-09-28 | 2022-09-26 | RIOT | D'Ambrosio Lance Varro | Dir | A - Grant | $0.00 | +111.4K | 121.4K | +1,114% | $0 |
| D | 2022-09-28 | 2022-09-26 | RIOT | D'Ambrosio Lance Varro | Dir | M - OptEx | $0.00 | +6,250 | 10.0K | +167% | $0 |
| D | 2022-09-28 | 2022-09-26 | RIOT | D'Ambrosio Lance Varro | Dir | M - OptEx | $0.00 | +6,250 | 0 | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-09-26 | A | A | 111,441 | $0.00 | 121,441 | D | — | — | (F3) As of September 26, 2022, the Reporting Person was granted, in consideration of the his service as an independent member of the Board, an award of 111,441 shares of Restricted Stock pursuant to a Restricted Stock award agreement with the Issuer under the equity plan. These 111,441 shares are eligible to vest, if at all, in four equal quarterly tranches after the grant date, subject to the Reporting Person's continued service with the Issuer through vesting. (F2) Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. |
| 2 | Common | Common Stock | 2022-09-26 | M | A | 6,250 | $0.00 | 10,000 | D | — | — | (F1) As of September 26, 2022, all outstanding restricted stock units ("RSUs") under the Issuer's equity plan were converted into restricted shares of the Issuer's Common Stock ("Restricted Stock"). The reported transaction represents the conversion of the unvested balance of the 12,500 RSUs granted to the Reporting Person as of January 10, 2022, into 6,250 shares of Restricted Stock. Pursuant to the applicable award agreement, these 6,250 shares vest, if at all, in two equal quarterly tranches, subject to the Reporting Person's continued service through vesting. (F2) Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. |
| 3 | Derivative | Restricted Stock Units | 2022-09-26 | M | A | 6,250 | $0.00 | 0 | D | $0.00 · — to — | 6,250 Common Stock | (F1) As of September 26, 2022, all outstanding restricted stock units ("RSUs") under the Issuer's equity plan were converted into restricted shares of the Issuer's Common Stock ("Restricted Stock"). The reported transaction represents the conversion of the unvested balance of the 12,500 RSUs granted to the Reporting Person as of January 10, 2022, into 6,250 shares of Restricted Stock. Pursuant to the applicable award agreement, these 6,250 shares vest, if at all, in two equal quarterly tranches, subject to the Reporting Person's continued service through vesting. (F2) Represents the total direct and indirect beneficial ownership of the indicated security held by the Reporting Person immediately following the reported transaction. |