4: Statement of changes in beneficial ownership of securities
Published on February 15, 2022
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIPFiled 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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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Veritone, Inc. [ VERI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/11/2022 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | |||
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Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/11/2022 | F | 89,168(1) | D | $17.23 | 390,390 | D | |||
Common Stock | 02/14/2022 | J | 215,921 | D | $0.00 | 0 | I | Steel Veritone Fund I, LLC | ||
Common Stock | 02/14/2022 | J | 59,629 | A | $0.00 | 59,629(2) | I | The C&CS Family Trust dated September 7, 2012(2) | ||
Common Stock | 160,426 | I | Held by CSVH, LLC(3) | |||||||
Common Stock | 425,603 | I | Held by son(4) | |||||||
Common Stock | 425,603 | I | Held by daughter(5) | |||||||
Common Stock | 425,603 | I | Held by spouse as custodian(6) |
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) | ||||
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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) | $0.00 | 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) | $0.00 | 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) | $0.00 | 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) | $0.00 | 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) | $0.00 | 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) | $0.00 | 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) | $0.00 | 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) | $0.00 | 5,386 | I | The C&CS Family Trust dated September 7, 2012 |
Explanation of Responses: |
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 |
/s/ Chad Steelberg | 02/15/2022 | |
** 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.