0001140361-17-021641.txt : 20170519 0001140361-17-021641.hdr.sgml : 20170519 20170519215549 ACCESSION NUMBER: 0001140361-17-021641 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170517 FILED AS OF DATE: 20170519 DATE AS OF CHANGE: 20170519 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 3366 VIA LIDO CITY: NEWPORT BEACH STATE: CA ZIP: 92663 BUSINESS PHONE: 888-507-1737 MAIL ADDRESS: STREET 1: 3366 VIA LIDO CITY: NEWPORT BEACH STATE: CA ZIP: 92663 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oates Christopher J. CENTRAL INDEX KEY: 0001704662 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38093 FILM NUMBER: 17859551 MAIL ADDRESS: STREET 1: 3366 VIA LIDO CITY: NEWPORT BEACH STATE: CA ZIP: 92663 4 1 doc1.xml FORM 4 X0306 4 2017-05-17 0 0001615165 Veritone, Inc. VERI 0001704662 Oates Christopher J. C/O VERITONE, INC. 3366 VIA LIDO NEWPORT BEACH CA 92663 1 0 0 0 Common Stock 2017-05-17 4 C 0 20515 A 28759 I By RimLight, LLC Series A Convertible Preferred Stock 2.9412 2017-05-17 4 C 0 27429 0.00 D 2014-07-16 Common Stock 20515 0 I By Rimlight LLC The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock. Does not include 52,323 shares of common stock beneficially owned by BV16, LLC, which represents the pecuniary interest of NIO Advisors, LLC in BV16, LLC. Mr. Oates is the Managing Member of NIO Advisors, LLC, but does not have any voting or dispositive power over any of the shares held by BV16, LLC. Mr. Oates is the managing director of RimLight, LLC and beneficially owns the reported securities indirectly. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purpose of Section 16 or for any other purpose and the reporting person disclaims beneficial ownership of the reported shares as he has no pecuniary interest in the shares. /s/ Ellen S. Bancroft, Attorney-in-Fact 2017-05-19