0000950142-20-000247.txt : 20200204 0000950142-20-000247.hdr.sgml : 20200204 20200204142518 ACCESSION NUMBER: 0000950142-20-000247 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Veritone, Inc. CENTRAL INDEX KEY: 0001615165 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 471161641 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-90119 FILM NUMBER: 20572865 BUSINESS ADDRESS: STREET 1: 575 ANTON BOULEVARD CITY: COSTA MESA STATE: CA ZIP: 92626 BUSINESS PHONE: 888-507-1737 MAIL ADDRESS: STREET 1: 575 ANTON BOULEVARD CITY: COSTA MESA STATE: CA ZIP: 92626 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HIGGINS BRIAN J CENTRAL INDEX KEY: 0001218197 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 65 EAST 55TH STREET STREET 2: 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 eh2000224_13ga2-bhveri.htm AMENDMENT NO. 2

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2

(Amendment No. 2)*

Veritone, Inc.
(Name of Issuer)
 
Common Stock, par value $0.001 per share
(Title of Class of Securities)
 
92347M 10 0
(CUSIP Number)
 
December 31, 2019
(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 
☐ 
Rule 13d-1(b)
 
☐ 
Rule 13d-1(c)
 
☒ 
Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

CUSIP No. 92347M 10 0
SCHEDULE 13G
Page 2 of 6
 
 
1
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Brian J. Higgins
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)  ☐
(b)  ☐
3
SEC USE ONLY
 
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
USA
 
NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
507,924
6
SHARED VOTING POWER
 
0
7
SOLE DISPOSITIVE POWER
 
507,924
8
SHARED DISPOSITIVE POWER
 
0
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
507,924
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
☐
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
2.1%
 
12
TYPE OF REPORTING PERSON
 
IN
 

CUSIP No. 92347M 10 0
SCHEDULE 13G
Page 3 of 6
 
 
Item 1.
(a)
Name of Issuer
 
  
Veritone, Inc.
 
 
 
 
(b)
Address of Issuer’s Principal Executive Offices
 
 
575 Anton Blvd.,
 
 
Costa Mesa, CA 92626
 
 
Item 2.
(a)
Name of Person Filing
 
 
Brian J. Higgins (the “Reporting Person”)
 
    
 
(b)
Address of Principal Business Office or, if none, Residence
 
 
299 Park Avenue, 40th Floor
New York, NY 10171
 
 
 
 
(c)
Citizenship
 
 
USA 
 
 
 
 
(d) 
Title of Class of Securities
 
 
See cover page
 
 
 
 
(e) 
CUSIP Number 
 
 
See cover page
 
Item 3.
If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
 
 
(a)
[__] 
Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o)
 
(b)
[__] 
Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c)
 
(c)
[__] 
Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c)
 
(d)
[__] 
Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8)
 
(e)
[__] 
An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E)
 
(f)
[__] 
An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F);
 
(g)
[__] 
A Parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G);
 
(h)
[__] 
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813)
 
(i)
[__] 
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3)
 
(j)
[__] 
Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).


CUSIP No. 92347M 10 0
SCHEDULE 13G
Page 4 of 6
 
Item 4.            Ownership

The shares of Common Stock reported on this Schedule are directly owned by 125 Media Holdings, L.L.C., of which the Reporting Person is the sole member.

The percentage beneficial ownership reported in Item 11 of the cover pages to this Schedule was calculated based on 24,608,799 shares of Common Stock outstanding, as reported in the Issuer’s quarterly report on Form 10-Q for the period ended September 30, 2019.

 
(a)
Amount Beneficially Owned
 
 
See row 9 of cover page
 
 
 
 
(b)
Percent of Class
 
 
See row 11 of cover page
 
 
 
 
(c)
Number of Shares as to which such person has
 
 
(i)
Sole power to vote or to direct the vote:
See row 5 of cover page
 
 
 
 
(ii)
Shared power to vote or to direct the vote:
See row 6 of cover page
 
 
 
 
(iii)
Sole power to dispose or to direct the disposition of:
See row 7 of cover page
 
 
 
 
(iv)
Shared power to dispose or to direct the disposition of:
See row 8 of cover page
 
CUSIP No. 92347M 10 0
SCHEDULE 13G
Page 5 of 6
 
Item 5.            Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following box  ☒.

Item 6.            Ownership of More than Five Percent on Behalf of Another Person

See Item 4.

Item 7.            Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

See Item 4.

Item 8.            Identification and Classification of Members of the Group

Not Applicable.

Item 9.            Notice of Dissolution of Group

Not Applicable.

Item 10.       Certifications

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
CUSIP No. 92347M 10 0
SCHEDULE 13G
Page 6 of 6
 
SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct.

Date:   February 4, 2020
 
 
/s/ Brian J. Higgins
 
 
Name:  Brian J. Higgins