8-K: Current report filing
Published on September 20, 2019
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): September 16, 2019
Veritone, Inc.
(Exact name of Registrant as Specified in Its Charter)
| Delaware | 001-38093 | 47-1161641 | ||
| (State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
| 575 Anton Boulevard, Suite 100 Costa Mesa, California |
92626 | |||
| (Address of Principal Executive Offices) | (Zip Code) | |||
Registrants Telephone Number, Including Area Code: (888) 507-1737
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Exchange Act:
| Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
||
| Common Stock, par value $0.001 per share | VERI | The NASDAQ Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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 provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(b) Retirement of Named Executive Officer
Effective September 16, 2019, Mr. John A. Ganley, Jr. retired as the Executive Vice President, Human Resources of Veritone, Inc. (the Company), and transitioned to a new part-time position as Senior Advisor to the Chief Executive Officer of the Company.
(e) Amendment of Compensatory Arrangement
In connection with the change in Mr. Ganleys role with the Company, the Company and Mr. Ganley entered into a letter agreement amending Mr. Ganleys position, cash compensation and certain terms of his equity compensation. A copy of this letter agreement is attached as Exhibit 10.1 to this Current Report on Form 8-K.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| Exhibit No. |
Description |
|
| 10.1 | Letter Agreement with John A. Ganley, Jr., dated September 16, 2019. | |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: September 20, 2019 |
Veritone, Inc. |
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| By: |
/s/ Jeffrey B. Coyne |
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| Jeffrey B. Coyne |
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| Executive Vice President, General Counsel and Secretary |
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