Form 4 for RIOT Riot Platforms, Inc.
Accepted 2022-09-29 00:00:00 ET · period of report 2022-09-27 · accession 0001079973-22-001226 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-09-29 | 2022-09-27 | RIOT | Marleau Hubert | Dir | M - OptEx | $0.00 | +12.5K | 12.5K | New | $0 |
| D | 2022-09-29 | 2022-09-27 | RIOT | Marleau Hubert | Dir | A - Grant | $0.00 | +111.4K | 123.9K | +892% | $0 |
| DM | 2022-09-29 | 2022-09-27 | RIOT | Marleau Hubert | Dir | M - OptEx | $0.00 | -12.5K | 0 | -100% | $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 | 2022-09-27 | M | A | 6,250 | $0.00 | 6,250 | D | — | — | (F1) The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"). |
| 2 | Common | Common Stock | 2022-09-27 | M | A | 6,250 | $0.00 | 12,500 | D | — | — | (F2) Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting. |
| 3 | Common | Common Stock | 2022-09-27 | A | A | 111,441 | $0.00 | 123,941 | D | — | — | (F3) Represents the RSA award granted to the Reporting Person, in connection with his service on the Board, pursuant to an RSA award agreement with the Issuer. These 111,441 shares are eligible to vest, if at all, in four equal quarterly tranches after the grant, subject to the Reporting Person's continued service with the Issuer through vesting. |
| 4 | Derivative | Restricted Stock Units | 2022-09-27 | M | D | 6,250 | $0.00 | 6,250 | D | $0.00 · — to — | 6,250 Common Stock | (F1) The reported transactions represent the settlement by the Issuer of the vested portion of the award of restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's equity plan in connection with the Reporting Person's service on the Board. Each vested RSU represents the contingent right to receive, upon settlement by the Issuer, one share of the Issuer's Common Stock, subject to any net settlement permitted by the equity plan and approved by the Issuer's Compensation and Human Resources Committee (the "Committee"). |
| 5 | Derivative | Restricted Stock Units | 2022-09-27 | M | D | 6,250 | $0.00 | 0 | D | $0.00 · — to — | 6,250 Common Stock | (F2) Represents the conversion, as authorized by the Committee, of all outstanding RSUs granted to the Reporting Person under the Issuer's equity plan into awards of restricted shares of the Issuer's Common Stock ("RSAs"). Pursuant to the applicable RSA award agreement with the Issuer, these 6,250 shares are eligible to vest, if at all, in two equal quarterly tranches after the grant, subject to the Reporting Person's continued service through vesting. |