![](https://investorshub.advfn.com/uicon/164310.png?cb=1645865690)
Friday, September 03, 2021 4:53:12 PM
SEC Filing
Form 4 Riot Blockchain, Inc.
Statement of changes in beneficial ownership of securities
SEC.report Riot Blockchain, Inc. Insider Trading Report Form 4 (Issuer)
SEC.report Northern Data AG Insider Trading Report Form 4 (Reporting)
Published: 2021-09-03 16:08:55
Submitted: 2021-09-03
Filing Agent: EDGARFILINGS LTD
Period Ending In: 2021-09-01
form4.html FORM 4
Zoom In Zoom Out
>
SEC FORM 4
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Northern Data AG
(Last) (First) (Middle)
AN DER WELLE 3
(Street)
FRANKFURT AM MAIN 2M 60322
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Riot Blockchain, Inc. [ RIOT ] 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
09/01/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, no par value 09/01/2021 S 1,850,008(1) D $36.84 9,949,992(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents shares of the Issuer's common stock, no par value, sold by such Reporting Person in a secondary public offering as a selling stockholder pursuant to a registration statement on Form S-3 (Registration No. 333-259039), filed with the Securities and Exchange Commission by the Issuer on August 24, 2021.
2. Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4.
/s/ Aroosh Thillainathan, Chief Executive Officer 09/03/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
form4.xml FORM 4
Schema Version:X0306
Document Type:4
Period Of Report:2021-09-01
Issuer
Issuer Cik0001167419
Issuer NameRiot Blockchain, Inc.
Issuer Trading SymbolRIOT
Reporting Owner
Reporting Owner Id
Rpt Owner Cik0001863502
Rpt Owner NameNorthern Data AG
Reporting Owner Address
Rpt Owner Street1AN DER WELLE 3
Rpt Owner CityFRANKFURT AM MAIN
Rpt Owner State2M
Rpt Owner Zip Code60322
Rpt Owner State DescriptionGERMANY
Reporting Owner Relationship Is Ten Percent Ownertrue
Non Derivative Transaction
Security TitleCommon Stock, no par value
Transaction Date2021-09-01
Transaction Coding
Transaction Form Type4
Transaction CodeS
Equity Swap Involved0
Transaction Amounts
Transaction Shares
Value1850008
@attributes IdF1
Transaction Price Per Share36.84
Transaction Acquired Disposed CodeD
Shares Owned Following Transaction
Value9949992
@attributes IdF2
Direct Or Indirect OwnershipD
Footnote
0Represents shares of the Issuer's common stock, no par value, sold by such Reporting Person in a secondary public offering as a selling stockholder pursuant to a registration statement on Form S-3 (Registration No. 333-259039), filed with the Securities and Exchange Commission by the Issuer on August 24, 2021.
1Represents the total direct and indirect ownership of the security held by the Reporting Person immediately following the transaction reported by this Form 4.
Owner Signature
Signature Name/s/ Aroosh Thillainathan, Chief Executive Officer
Signature Date2021-09-03
Additional Files
File Sequence Description Type Size
0001140361-21-030368.txt Complete submission text file 5200
$RIOT
DON'T FEED THE CLOWNS
THE REAL DTCC DISCUSSION
http://investorshub.advfn.com/boards/board.
Recent RIOT News
- Ethereum Drops 6%, Bitcoin Conference Tickets Soar to $844,600, New TON Wallet Enables Gas-Free Transactions • IH Market News • 07/25/2024 08:07:18 PM
- Riot Announces that Ontario Capital Markets Tribunal Has Terminated Bitfarms’ Poison Pill • Business Wire • 07/24/2024 11:25:00 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 07/23/2024 08:50:24 PM
- Riot Announces the Acquisition of Block Mining - Expands Riot's Total Potential Power Capacity To 2 Gigawatts • PR Newswire (US) • 07/23/2024 08:45:00 PM
- RIOT ANNOUNCES SECOND QUARTER 2024 EARNINGS CONFERENCE CALL • PR Newswire (US) • 07/22/2024 01:00:00 PM
- Bitcoin Surpasses $63K, Miners Accumulate, Exchanges Limit Brokerage Fee Discounts • IH Market News • 07/15/2024 07:32:17 PM
- Bitfarms Calls Shareholder Meeting, Iris Energy Volatility, XRP Gains, FIL Declines • IH Market News • 07/12/2024 07:26:57 PM
- German Government Sells More BTC, Celo Launches Layer 2 Dango Testnet, Binance Delists Four Altcoins • IH Market News • 07/08/2024 07:25:28 PM
- Riot Launches www.ABetterBitfarms.com • Business Wire • 07/08/2024 12:15:00 PM
- Crypto Market Sentiment Dives, PancakeSwap Launches zkSync Reward • IH Market News • 07/05/2024 06:33:10 PM
- RIOT ANNOUNCES JUNE 2024 PRODUCTION AND OPERATIONS UPDATES • PR Newswire (US) • 07/03/2024 01:00:00 PM
- BTC Price Struggles at $60K, Jesse Powell Supports Trump with Donation, Phantom Wallet Fake App Warning • IH Market News • 06/28/2024 07:06:55 PM
- SolarEdge Stock Falls 13%, Wegovy Approved in China, Grail Nasdaq Debut, Apple Rejects Meta Chatbot • IH Market News • 06/25/2024 10:36:11 AM
- Bitcoin Drops to $60,000, Mt. Gox to Reimburse Creditors in July, Riot Platforms Board Restructures • IH Market News • 06/24/2024 07:09:18 PM
- Riot Requisitions Special Meeting of Bitfarms Shareholders and Nominates Three Highly Qualified, Independent Directors to Bring Urgently Needed Change to Bitfarms Board • Business Wire • 06/24/2024 12:30:00 PM
- Ether Surges Post SEC Investigation Closure, DJT Token Creator Reward Sparks Revelations, and More in Crypto • IH Market News • 06/19/2024 12:27:24 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 06/18/2024 09:28:24 PM
- Form 425 - Prospectuses and communications, business combinations • Edgar (US Regulatory) • 06/14/2024 08:08:10 PM
- Form 425 - Prospectuses and communications, business combinations • Edgar (US Regulatory) • 06/14/2024 08:06:58 PM
- Miners’ Selling Trends, Bernstein’s Stellar Bitcoin Price Projections, and More in Crypto • IH Market News • 06/14/2024 02:33:32 PM
- Form SC 13D/A - General statement of acquisition of beneficial ownership: [Amend] • Edgar (US Regulatory) • 06/14/2024 01:10:52 AM
- Riot Platforms, Inc. Reports Beneficial Ownership of 14% in Bitfarms Ltd. • Business Wire • 06/13/2024 10:35:00 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 06/13/2024 12:15:17 PM
- Form 425 - Prospectuses and communications, business combinations • Edgar (US Regulatory) • 06/12/2024 08:10:40 PM
- Form 425 - Prospectuses and communications, business combinations • Edgar (US Regulatory) • 06/12/2024 08:08:45 PM
Glidelogic Corp. Announces Revolutionary AI-Generated Content Copyright Protection Solution • GDLG • Jul 26, 2024 12:30 PM
Southern Silver Files NI43-101 Technical Report for its Updated Preliminary Economic Assessment for the Cerro Las Minitas Project • SSV • Jul 25, 2024 8:00 AM
Greenlite Ventures Completes Agreement with No Limit Technology • GRNL • Jul 19, 2024 10:00 AM
VAYK Expects Revenue from First Airbnb Property Starting from August • VAYK • Jul 18, 2024 9:00 AM
North Bay Resources Acquires Mt. Vernon Gold Mine, Sierra County, California, with Assays up to 4.8 oz. Au per Ton • NBRI • Jul 18, 2024 9:00 AM
Nightfood Holdings Signs Letter of Intent for All-Stock Acquisition of CarryOutSupplies.com • NGTF • Jul 17, 2024 1:00 PM