4: Statement of changes in beneficial ownership of securities
Published on May 15, 2018
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
(e.g., puts, calls, warrants, options, convertible securities)
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 Underlying Securities (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 of Derivative Security: 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 | ||||||||
Restricted Stock Units | (5) | 05/11/2018 | M(1) | 5,000 | (6) | (6) | Common Stock | 5,000 | $ 0 | 0 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oates Christopher J. C/O VERITONE, INC. 575 ANTON BOULEVARD COSTA MESA, CA 92626 |
X |
Signatures
/s/Jeffrey B. Coyne, as attorney-in-fact for reporting person | 05/15/2018 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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). |
(1) | Represents the automatic settlement upon vesting of restricted stock units that had been issued to reporting person on May 11, 2017. |
(2) | The restricted stock units were converted into common stock on a one-for-one basis, and no purchase price was paid. |
(3) | Shares are held by RimLight, LLC. Reporting person is the managing director of RimLight, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act of 1934, as amended or otherwise, the beneficial owner of the shares held by such entity, and reporting person disclaims beneficial ownership of the shares. |
(4) | Shares are held by NIO Advisors, LLC, a limited liability company. Reporting person is the sole member of NIO Advisors, LLC. |
(5) | Each restricted stock unit represents a right to receive one share of common stock. |
(6) | The restricted stock units vested on May 11, 2018. |