Reporting concerns/receiving advice communication channels

Be proactive

Every employee is expected to act proactively by asking questions, seeking guidance and reporting suspected violations of the Code of Business Conduct and Ethics (the “Code”) and other policies and procedures of the Company, as well as any violation or suspected violation of applicable law, rule or regulation arising in the conduct of the Company’s business or occurring on the Company’s property. If any employee believes that actions have taken place, may be taking place, or may be about to take place that violate or would violate the Code or any law, rule or regulation applicable to the Company, he or she must bring the matter to the attention of the Company.

Seeking guidance

The best starting point for an officer or employee seeking advice on ethics-related issues or reporting potential violations of the Code will usually be his or her supervisor. However, if the conduct in question involves his or her supervisor, if the employee has reported the conduct in question to his or her supervisor and does not believe that he or she has dealt with it properly, or if the officer or employee does not feel that he or she can discuss the matter with his or her supervisor, the employee may raise the matter with the Compliance Officer.

Communication alternatives

Any officer or employee may communicate with the Compliance Officer, to seek guidance and/or to report suspected violations of the Code, any other company policy or procedure, or any applicable law, rule or regulation (including securities laws and FCPA matters), by any of the following methods:

  1. In writing (which may be done anonymously as set forth below under “Reporting; Anonymity”), addressed to:
    Craig Gatarz, Chief Legal Officer
    Veritone, Inc.
    5291 California Avenue, Suite 350
    Irvine, CA 92617
  2. By e-mail to the Chief Legal Officer at cgatarz@veritone.com (anonymity cannot be maintained).
  3. Make a report through a hotline operated by Navex, an independent, third-party service provider engaged by the Company for the purpose of receiving and processing confidential and anonymous complaints or concerns:
    • 24-Hour telephone number:
      • UNITED STATES 1-844-539-2167
      • UNITED KINGDOM & NORTHERN IRELAND (BRITISH TELECOM)
        0-800-89-0011
        At the English prompt, dial 844-539-2167
      • ISRAEL (GOLDEN LINES) 1-80-922-2222
        ISRAEL (BARAK) 1-80-933-3333
        ISRAEL (BEZEQ) 1-80-949-4949
           At the English prompt, dial 844-539-216
    • Website: veritone.ethicspoint.com
    • Mobile: http://veritonemobile.ethicspoint.com OR scan the QR Code below from your phone
      QR Code

Officers and employees may use the hotline to communicate anonymously with the Company.

Cooperation

Employees are expected to cooperate with the Company in any investigation of a potential violation of the Code, any other company policy or procedure, or any applicable law, rule or regulation.

Misuse of reporting channels

Employees must not use these reporting channels in bad faith or in a false or unreasonable manner.

No retaliation

The Company expressly forbids any retaliation against any officer or employee who, acting in good faith on the basis of a reasonable belief, reports suspected misconduct. Specifically, the Company will not discharge, demote, suspend, threaten, harass or in any other manner discriminate against, such an officer or employee in the terms and conditions of his or her employment. Any person who participates in any such retaliation is subject to disciplinary action, including termination.