S-1MEF: A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-1
Published on November 17, 2017
As filed with the Securities and Exchange Commission on November 17, 2017.
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-1
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
Veritone, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 7370 | 47-1161641 | ||
(State or other jurisdiction of incorporation or organization) |
(Primary Standard Industrial Classification Code Number) |
(I.R.S. Employer Identification No.) |
575 Anton Blvd., Suite 900
Costa Mesa, CA 92626
(888) 507-1737
(Address, including zip code, and telephone number, including area code, of registrants principal executive offices)
Chad Steelberg
Chief Executive Officer
Veritone, Inc.
575 Anton Blvd., Suite 900
Costa Mesa, CA 92626
(888) 507-1737
(Name, address, including zip code, and telephone number, including area code, of agent for service)
Copies to:
Michael A. Hedge David C. Lee K&L Gates LLP 1 Park Plaza, Twelfth Floor Irvine, California 92614 (949) 253-0900 |
Jeffrey B. Coyne General Counsel and Secretary Veritone, Inc. 575 Anton Blvd., Suite 900 Costa Mesa, California 92626 (888) 507-1737 |
Ryan C. Wilkins Stradling, Yocca, Carlson & Rauth, P.C. 660 Newport Center Drive, Suite 1600 Newport Beach, California 92660 (949) 725-4000 |
Approximate date of commencement of proposed sale to the public:
As soon as practicable after this Registration Statement is declared effective.
If any of the securities being registered on this form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, as amended, check the following box. ☐
If this form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☒ 333-221570
If this form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
If this form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of large accelerated filer, accelerated filer, smaller reporting company and emerging growth company in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☐ (Do not check if a smaller reporting company) | Smaller reporting company | ☒ | |||
Emerging growth company | ☒ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
CALCULATION OF REGISTRATION FEE
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Title of Each Class of Securities to be Registered |
Amount to be Registered(1) |
Proposed Offering Price per Share(2) |
Proposed Maximum |
Amount of Registration Fee(3) |
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Common Stock, par value of $0.001 per share |
201,250 | $23.00 | $4,628,750 | $577 | ||||
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(1) | The Registrant previously registered securities on a Registration Statement on Form S-1 (File No. 333-221570), which was declared effective on November 17, 2017. In accordance with Rule 462(b) promulgated under the Securities Act of 1933, as amended, an additional 201,250 shares of common stock having a proposed maximum aggregate offering price of $4,628,750 is hereby registered, which includes an additional 26,250 shares that the underwriters have the option to purchase to cover over-allotments, if any. |
(2) | Estimated solely for the purpose of determining the amount of the registration fee in accordance with Rule 457(a) under the Securities Act of 1933, as amended. The registration fee is based on the public offering price. |
(3) | A registration fee of $2,916 was previously paid in connection with the initial filing of the Registration Statement on Form S-1 (File No. 333-221570). |
This Registration Statement shall become effective upon filing with the Securities and Exchange Commission in accordance with Rule 462(b) promulgated under the Securities Act of 1933, as amended.
EXPLANATORY NOTE AND INCORPORATION OF CERTAIN INFORMATION BY REFERENCE
Pursuant to Rule 462(b) promulgated under the Securities Act of 1933, as amended, Veritone, Inc., a Delaware corporation (the Registrant), is filing this Registration Statement on Form S-1 with the Securities and Exchange Commission (the Commission). This Registration Statement relates to the public offering of securities contemplated by the Registration Statement on Form S-1 (File No. 333-221570), which the Registrant initially filed with the Commission on November 15, 2017 (the Prior Registration Statement), and which the Commission declared effective on November 17, 2017.
The Registrant is filing this Registration Statement for the sole purpose of increasing the aggregate number of shares of common stock offered by the Registrant by 201,250 shares, 26,250 of which are issuable upon exercise of the underwriters option to purchase shares of the Registrants common stock to cover over-allotments, if any. The additional shares that are being registered for sale are in an amount and at a price that together represent no more than 20% of the maximum aggregate offering price set forth in the Calculation of Registration Fee table contained in the Prior Registration Statement. The information set forth in the Prior Registration Statement and all exhibits thereto are hereby incorporated by reference into this Registration Statement.
The required opinion and consents are listed on the Exhibit Index attached hereto and filed herewith.
EXHIBIT INDEX
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Costa Mesa, State of California, on this 17th day of November, 2017.
VERITONE, INC. | ||
By: | /s/ Chad Steelberg |
|
Chad Steelberg, Chief Executive Officer |
Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
Signature |
Title |
Date |
||||
/s/ Chad Steelberg Chad Steelberg |
Chief Executive Officer and Chairman of the Board (Principal Executive Officer) | November 17, 2017 | ||||
* Ryan Steelberg |
President and Director | November 17, 2017 | ||||
/s/ Peter F. Collins Peter F. Collins |
Senior Vice President, Finance and Chief Financial Officer (Principal Financial and Accounting Officer) | November 17, 2017 | ||||
* Nathaniel Checketts |
Director | November 17, 2017 | ||||
* Jeff P. Gehl |
Director | November 17, 2017 | ||||
* G. Louis Graziadio, III |
Director | November 17, 2017 | ||||
* Knute P. Kurtz |
Director | November 17, 2017 | ||||
* Christopher J. Oates |
Director | November 17, 2017 | ||||
* Edward J. Treska |
Director | November 17, 2017 | ||||
* Frank E. Walsh, III |
Director | November 17, 2017 |
*By: | /s/ Chad Steelberg Chad Steelberg Attorney-in-Fact |