4: Statement of changes in beneficial ownership of securities
Published on February 13, 2019
|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 5.65 | 02/12/2019 | A | 15,000 | (4) | 02/12/2029 | Common Stock | 15,000 | $ 0 | 15,000 | D | ||||
Stock Option (right to buy) | $ 5.65 | 02/12/2019 | A | 26,001 | (5) | 02/12/2029 | Common Stock | 26,001 | $ 0 | 26,001 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Collins Peter F C/O VERITONE, INC. 575 ANTON BOULEVARD COSTA MESA, CA 92626 |
EVP and CFO |
Signatures
/s/Jeffrey B. Coyne, as attorney-in-fact for reporting person | 02/13/2019 | |
**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) | Consists of restricted stock units representing the right to receive upon vesting a total of 16,845 shares of the issuer's common stock. All such restricted stock units will vest on January 3, 2020, subject to the continuous service of reporting person with the issuer. |
(2) | Includes a total of 1,963 shares acquired by reporting person through the Employee Stock Purchase Plan of the issuer on July 31, 2018 and January 31, 2019. |
(3) | Shares are held by reporting person and his spouse as trustees of a family trust. |
(4) | 25% of the shares subject to the option will vest on the first anniversary of the grant date, and 1/48th of the shares subject to the option will vest in monthly installments thereafter, subject to the continuous service of reporting person with the issuer. |
(5) | Stock option will become exercisable in three equal tranches based on the achievement of stock price goals for the common stock of the issuer of $49.15 per share, $98.31 per share and $196.62 per share, respectively, subject to the continuous service of reporting person with the issuer. |