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
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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
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