SEC Form 4 · accession 0001140361-17-039183
Riot Platforms, Inc. · RIOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey McGonegal
Officer — Chief Financial Officer
Period of report
Oct 18, 2017
Accepted (ET)
Oct 20, 2017 · 5:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001167419
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2,F1 | — | Oct 18, 2017 | J | 21,000 | D | — | — | Common Stock | 21,000 | 1,428 | D |
Explanation of responses
- F1Under the terms of a Retention Agreement entered into as of June 30, 2017, Mr. McGonegal was provided a right to waive his rights to 21,000 outstanding stock options in exchange for a one-time lump-sum payment as defined in the Retention Agreement, which was paid on October 18, 2017 and totaled $100,013.
- F2Represents shares vested or to be vested within 60 days pursuant to restricted stock awards.