Current Report Filing (8-k)
March 15 2021 - 5:04PM
Edgar (US Regulatory)
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2021-03-15
2021-03-15
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UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C.
20549
FORM 8-K
CURRENT REPORT
Pursuant
to Section 13 or 15(d) of
The
Securities Exchange Act of 1934
Date of Report
(Date of earliest event reported): March 15, 2021 (March 15, 2021)
Riot Blockchain, Inc.
(Exact name of registrant
as specified in its charter)
Nevada
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001-33675
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84-1553387
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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202 6th Street, Suite 401, Castle Rock, CO
80104
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(Address of principal executive offices)
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(303) 794-2000
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(Registrant’s telephone number, including area code)
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(Former name, former
address, and former fiscal year, if changed since last report.)
Check the appropriate box below if the
Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock
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RIOT
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NASDAQ Capital Market
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Indicate by check
mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of
this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth
company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any
new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 2.02
– Results of Operations and Financial Condition.
On March 15,
2021, Riot issued the press release attached as Exhibit 99.1 to this Report, announcing preliminary cryptocurrency mining production
results for the fourth quarter of 2020, and for January and February of 2021, and updates on operations and a miner purchase.
Item 7.01
– Regulation FD Disclosure.
The
Corporation’s press release attached as Exhibit 99.1 to this Report and disclosed under Item 2.02 above is incorporated by
reference into this Item 7.01.
This
information, including Exhibit 99.1 to this Report, is intended to be furnished under Item 2.02 and Item 7.01 of this Report only
and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the
“Exchange Act”), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or
the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.
About
Riot Blockchain, Inc.
Information
reported in this Current Report on Form 8-K is limited to the scope of the information reportable under a Current Report on Form
8-K under the rules and regulations of the Commission. Please refer to the additional information concerning the Corporation referenced
in the following notices and safe harbor provision for material risks and other uncertainties.
Investor
Notice
An investment
in the Corporation’s common stock involves a high degree of risk, and an investor should only purchase the Corporation’s
securities if he or she can afford to suffer the loss of his or her entire investment. In determining whether to purchase the Corporation’s
common stock, an investor should carefully consider all of the material risks described under Item 1A under the heading “Risk
Factors” in our most recent Annual Report on Form 10-K for the year ended December 31, 2019, filed with the SEC on March
25, 2020, as amended, and as supplemented and updated by subsequent Quarterly Reports on Form 10-Q and Current Reports on Form
8-K, together with the financial or other information contained or incorporated by reference in such reports. In addition to the
risks discussed in these reports, other risks not presently known to us or that we currently believe to be immaterial may also
adversely affect our business, financial condition and results of operations, perhaps materially.
Cautionary Note Regarding Forward-Looking
Statements
The information provided in this Report,
including the information set forth in the press release attached hereto as Exhibit 99.1, may include “forward-looking statements”
(within meaning of Section 27A of the Securities Act of 1933, as amended and Section 21E of the Securities Exchange Act of 1934,
as amended) relating to future events or the future financial performance of the Corporation. Because such statements are subject
to risks and uncertainties, actual results may differ materially from those expressed or implied by such forward-looking statements.
Words such as “anticipates,” “plans,” “expects,” “intends,” “will,”
“potential,” “hope” and similar expressions are intended to identify forward-looking statements. These
forward-looking statements are based upon current expectations of the Corporation and involve assumptions that may never materialize
or may prove to be incorrect. However, the inclusion of forward-looking statements should not be regarded as a representation by
the Company or any other person that future events, plans or expectations contemplated by the Company will be achieved. Actual
results and the timing of events could differ materially from those anticipated in such forward-looking statements as a result
of various risks and uncertainties. Detailed information regarding factors that may cause actual results to differ materially from
the results expressed or implied by statements in report relating to the Corporation may be found in the Corporation’s periodic
filings with the Commission, including the factors described under the heading “Risk Factors” in the Corporation’s
Annual Report on Form 10-K for the year ended December 31, 2019, as amended, and its interim reports on Form 10-Q and 8-K, as well
as future reports the Corporation files with the Commission, copies of which may be obtained from the SEC’s website at www.sec.gov.
It is not possible to predict all risks, nor can the Corporation comprehensively assess the impact of all factors on our business
or the extent to which any factor, or combination of factors, may cause actual results to differ materially from those contained
in any forward-looking statements the Corporation may make. In light of these risks, uncertainties and assumptions, the future
events and trends discussed in this Report may not occur and actual results could differ materially and adversely from those anticipated
or implied in the forward-looking statements. Given these risks and uncertainties, the reader should not place undue reliance on
these forward-looking statements. All forward-looking statements included in this Report are made only as of the date of this Report,
and the Corporation does not undertake any obligation to publicly update or correct any forward-looking statements to reflect events
or circumstances that subsequently occur, or of which the Corporation hereafter becomes aware, except as required by law.
Item
9.01 – Financial Statements and Exhibits.
*
The information contained in this Press Release is furnished but not filed for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended.
S I G N A T U R
E
Pursuant to
the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned hereunto duly authorized.
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RIOT BLOCKCHAIN, INC.
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By:
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/s/ Jeffrey McGonegal
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Jeffrey McGonegal
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Chief Executive Officer
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Date: March 15,
2021
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