SC 13G/A: Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions
Published on February 4, 2020
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2
(Amendment No. 2)*
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Veritone, Inc.
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(Name of Issuer)
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Common Stock, par value $0.001 per share
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(Title of Class of Securities)
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92347M 10 0
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(CUSIP Number)
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December 31, 2019
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(Date of Event which Requires Filing of this Statement)
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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☐
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Rule 13d-1(b)
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☐
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Rule 13d-1(c)
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☒
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Rule 13d-1(d)
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*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 92347M 10 0
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SCHEDULE 13G
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Page 2 of 6
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian J. Higgins
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) ☐
(b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
507,924
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
507,924
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8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
507,924
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.1%
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12
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 92347M 10 0
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SCHEDULE 13G
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Page 3 of 6
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Item 1.
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(a)
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Name of Issuer
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Veritone, Inc.
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(b)
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Address of Issuer’s Principal Executive Offices
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575 Anton Blvd.,
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Costa Mesa, CA 92626
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Item 2.
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(a)
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Name of Person Filing
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Brian J. Higgins (the “Reporting Person”)
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(b)
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Address of Principal Business Office or, if none, Residence
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299 Park Avenue, 40th Floor
New York, NY 10171
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(c)
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Citizenship
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USA
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(d)
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Title of Class of Securities
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See cover page
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(e)
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CUSIP Number
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See cover page
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Item 3.
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If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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[__]
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Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o)
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(b)
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[__]
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Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c)
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(c)
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[__]
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Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c)
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(d)
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[__]
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Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8)
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(e)
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[__]
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An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E)
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(f)
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[__]
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An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F);
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(g)
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[__]
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A Parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G);
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(h)
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[__]
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813)
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(i)
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[__]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3)
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(j)
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[__]
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Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
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CUSIP No. 92347M 10 0
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SCHEDULE 13G
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Page 4 of 6
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Item 4. Ownership
The shares of Common Stock reported on this Schedule are directly owned by 125 Media Holdings, L.L.C., of
which the Reporting Person is the sole member.
The percentage beneficial ownership reported in Item 11 of the cover pages to this Schedule was
calculated based on 24,608,799 shares of Common Stock outstanding, as reported in the Issuer’s quarterly report on Form 10-Q for the period ended September 30, 2019.
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(a)
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Amount Beneficially Owned
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See row 9 of cover page
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(b)
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Percent of Class
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See row 11 of cover page
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(c)
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Number of Shares as to which such person has
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(i)
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Sole power to vote or to direct the vote:
See row 5 of cover page
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(ii)
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Shared power to vote or to direct the vote:
See row 6 of cover page
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(iii)
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Sole power to dispose or to direct the disposition of:
See row 7 of cover page
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(iv)
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Shared power to dispose or to direct the disposition of:
See row 8 of cover page
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CUSIP No. 92347M 10 0
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SCHEDULE 13G
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Page 5 of 6
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Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has
ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following box ☒.
Item 6. Ownership of More than Five Percent on Behalf of Another Person
See Item 4.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
See Item 4.
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certifications
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above
were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that
purpose or effect.
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CUSIP No. 92347M 10 0
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SCHEDULE 13G
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Page 6 of 6
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SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set
forth in this statement is true, complete and correct.
Date: February 4, 2020
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/s/ Brian J. Higgins
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Name: Brian J. Higgins
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