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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 19,590 | 03/24/2017 | 03/24/2027 | Common Stock | 19,590 (7) | $ 0 | 0 | I | Steel Veritone Fund I, LLC | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 19,590 | 04/17/2017 | 04/17/2027 | Common Stock | 19,590 (7) | $ 0 | 0 | I | Steel Veritone Fund I, LLC | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 19,591 | 05/11/2017 | 05/11/2027 | Common Stock | 19,591 (7) | $ 0 | 0 | I | Steel Veritone Fund I, LLC | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 19,591 | 05/11/2017 | 05/11/2027 | Common Stock | 19,591 (7) | $ 0 | 0 | I | Steel Veritone Fund I, LLC | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 5,389 | 03/24/2017 | 03/24/2027 | Common Stock | 5,389 (7) | $ 0 | 5,389 | I | The C&CS Family Trust dated September 7, 2012 | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 5,389 | 04/17/2017 | 04/17/2027 | Common Stock | 5,389 (7) | $ 0 | 5,389 | I | The C&CS Family Trust dated September 7, 2012 | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 5,386 | 05/11/2017 | 05/11/2027 | Common Stock | 5,386 (7) | $ 0 | 5,386 | I | The C&CS Family Trust dated September 7, 2012 | |||
Common Stock Purchase Warrant (right to buy) | $ 13.6088 | 02/14/2022 | J | 5,386 | 05/11/2017 | 05/11/2027 | Common Stock | 5,386 (7) | $ 0 | 5,386 | I | The C&CS Family Trust dated September 7, 2012 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Steelberg Chad 2420 17TH STREET, OFFICE 3002 DENVER, CO 80202 |
X | X | See Remarks |
/s/ Chad Steelberg | 02/15/2022 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents shares that were withheld for the payment of taxes in connection with the vesting of restricted stock units. |
(2) | Reporting person is the trustee of The C&CS Family Trust dated September 7, 2012 and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person received the shares upon distribution of shares held by Steel Veritone Fund I, LLC (the "Fund"), which reporting person previously reported beneficial ownership of 215,921 shares owned by the Fund. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
(3) | Shares are held by CSVH, LLC, a limited liability company. Reporting person is the sole manager and member of CSVH, LLC. |
(4) | Shares are held by reporting person's son. Reporting person disclaims beneficial ownership of such shares. |
(5) | Shares are held by reporting person's daughter. Reporting person disclaims beneficial ownership of such shares. |
(6) | Shares are held by reporting person's spouse, as custodian for his minor daughter. Reporting person disclaims beneficial ownership of such shares. |
(7) | Reporting person received the warrants upon distribution of warrants held by the Fund, which reporting person previously reported beneficial ownership of all warrants held by the Fund. |
Remarks: Chief Executive Officer, Chairman of the Board |