4: Statement of changes in beneficial ownership of securities
Published on May 16, 2017
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) 05/12/2017 | ||||||||||||||||||||||||||
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 | 05/12/2017 | P | 30,092 | A | $15 | 30,092 | D | |||
Common Stock | 05/12/2017 | P | 41,621 | A | $15.64 | 71,713 | D | |||
Common Stock | 05/12/2017 | P | 3,842 | A | $14.5579(1) | 75,555 | D | |||
Common Stock | 05/12/2017 | P | 1,281 | A | $13.7836(2) | 76,836 | D | |||
Common Stock | 05/12/2017 | P | 45,048 | A | $15 | 45,048 | I | By GFT(3) | ||
Common Stock | 05/12/2017 | P | 49,818 | A | $15.64 | 94,866 | I | By GFT(3) | ||
Common Stock | 05/12/2017 | P | 5,671 | A | $14.5579(1) | 100,537 | I | By GFT(3) | ||
Common Stock | 05/12/2017 | P | 1,890 | A | $13.7836(2) | 102,427 | I | By GFT(3) | ||
Common Stock | 05/12/2017 | P | 5,415 | A | $15.64 | 5,415 | I | By Gina Carra(4) | ||
Common Stock | 05/12/2017 | P | 3,439 | A | $14.5579(1) | 8,854 | I | By Gina Carra(4) | ||
Common Stock | 05/12/2017 | P | 1,146 | A | $13.7836(2) | 10,000 | I | By Gina Carra(4) | ||
Common Stock | 05/12/2017 | P | 2,083 | A | $15.64 | 2,083 | I | By Ginarra(5) | ||
Common Stock | 05/12/2017 | P | 688 | A | $14.5579(1) | 2,771 | I | By Ginarra(5) | ||
Common Stock | 05/12/2017 | P | 229 | A | $13.7836(2) | 3,000 | I | By Ginarra(5) | ||
Common Stock | 05/12/2017 | P | 1,500 | A | $15.64 | 1,500 | I | By Spouse | ||
Common Stock | 05/12/2017 | P | 1,000 | A | $15 | 1,000 | I | By minor child(6) | ||
Common Stock | 05/12/2017 | P | 1,179 | A | $15.64 | 2,179 | I | By minor child(6) | ||
Common Stock | 05/12/2017 | P | 241 | A | $14.5579(1) | 2,420 | I | By minor child(6) | ||
Common Stock | 05/12/2017 | P | 80 | A | $13.7836(2) | 2,500 | I | By minor child(6) | ||
Common Stock | 05/12/2017 | P | 1,000 | A | $15 | 1,000 | I | By minor child(7) | ||
Common Stock | 05/12/2017 | P | 1,179 | A | $15.64 | 2,179 | I | By minor child(7) | ||
Common Stock | 05/12/2017 | P | 241 | A | $14.5579(1) | 2,420 | I | By minor child(7) | ||
Common Stock | 05/12/2017 | P | 80 | A | $13.7836(2) | 2,500 | I | By minor child(7) | ||
Common Stock | 05/12/2017 | P | 12,477 | A | $14.5579(1) | 12,477 | I | By Ginmarra(8) | ||
Common Stock | 05/12/2017 | P | 4,159 | A | $13.7836(2) | 16,636 | I | By Ginmarra(8) | ||
Common Stock | 05/12/2017 | P | 2,500 | A | $15 | 2,500 | I | By Gino Trust(9) | ||
Common Stock | 05/12/2017 | P | 1,706 | A | $14.5579(1) | 4,206 | I | By Gino Trust(9) | ||
Common Stock | 05/12/2017 | P | 569 | A | $13.7836(2) | 4,775 | I | By Gino Trust(9) |
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 |
Explanation of Responses: |
1. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.30 to $15.14, inclusive. Mr. Graziadio undertakes to provide to Veritone, Inc. ("Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. |
2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.31 to $14.20, inclusive. Mr. Graziadio undertakes to provide to Veritone, Inc. ("Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. |
3. These shares are owned by the Graziadio Family Trust u/d/t 11/13/75 ("GFT"), an irrevocable trust established by Mr. Graziadio for the benefit of his children. Mr. Graziadio is neither a trustee nor a beneficiary of GFT and disclaims beneficial ownership of the shares owned by GFT except to the extent of the pecuniary interest of his minor children in such shares. |
4. These shares are owned by Gina-Carra Partnership ("Gina-Carra"), a limited partnership of which Mr. Graziadio is the trustee of one of the general partners, which is a trust for the benefit of an adult daughter of Mr. Graziadio. Mr. Graziadio disclaims beneficial ownership of the shares owned by Gina-Carra as he has no pecuniary interest in such shares. |
5. These shares are owned by Ginarra Partners, LLC ("Ginarra"), a limited liability company owned by GFT and Gina-Carra and as to which Mr. Graziadio serves as president of the manager. Mr. Graziadio disclaims beneficial ownership of the shares owned by Ginarra as he has no pecuniary interest in such shares. |
6. Shares owned in the name of Mr. Graziadio's minor child, George L. Graziadio IV. |
7. Shares owned in the name of Mr. Graziadio's minor child, Marianna R. Graziadio. |
8. These shares are owned by Ginmarra Investors Fund 1 LLC ("Ginmarra"), a limited liability company majority owned by GFT, Gina-Carra and Ginarra and as to which Mr. Graziadio serves as president of the manager. Mr. Graziadio disclaims ownership of the shares owned by Ginmarra except to the extent of his pecuniary interest in such shares. |
9. These shares are owned by George & Reva Graziadio Grandchildren Trust II for the benefit of Mr. Graziadio's minor child, George L. Graziadio IV ("Gino Trust"). Mr. Graziadio is the trustee of the Gino Trust, but disclaims beneficial ownership of the shares owned by the Gino Trust except to the extent of the pecuniary interest of his minor child in such shares. |
/s/ Ellen S. Bancroft, Attorney-in-Fact | 05/16/2017 | |
** 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.