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