0001140361-17-033044.txt : 20170822 0001140361-17-033044.hdr.sgml : 20170822 20170822202421 ACCESSION NUMBER: 0001140361-17-033044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170822 DATE AS OF CHANGE: 20170822 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Steelberg Chad CENTRAL INDEX KEY: 0001704669 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38093 FILM NUMBER: 171046087 MAIL ADDRESS: STREET 1: 3366 VIA LIDO CITY: NEWPORT BEACH STATE: CA ZIP: 92663 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 4 1 doc1.xml FORM 4 X0306 4 2017-06-30 0 0001615165 Veritone, Inc. VERI 0001704669 Steelberg Chad C/O VERITONE, INC. 575 ANTON BOULEVARD COSTA MESA CA 92626 1 1 1 0 CEO and Chairman of the Board Common Stock 2017-06-30 4 A 0 10121 12.35 A 10121 D Common Stock 3355387 I By Newport Common Stock 298287 I By Steel Holdings, LLC Common Stock 76970 I By VIF I, LLC Common Stock 445278 I By VLOC Common Stock 961835 I By BV16, LLC Represents quarterly shares automatically issued to reporting person pursuant to his Employment Agreement under the Issuer's 2017 Stock Incentive Plan. The number of shares issued at the end of each quarter during the term of such agreement is determined by dividing $125,000 by the average closing price of the Company's Common Stock during the last five trading days of the calendar quarter. The reporting person is a trustee of his grantor trust, which is one of the managing members of Newport Coast Investments, LLC ("Newport"), and as such, Mr. Steelberg may be deemed a beneficial owner of shares of common stock held by Newport. 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 (the "Exchange Act") or otherwise, the beneficial owner of all of the securities held by such entity, and Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. The reporting person is the Manager of Steel Holdings, LLC, and as such, may be deemed a beneficial owner of shares of common stock directly held by Steel Holdings, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity. The reporting person is the Manager and one of the members of VIF I, LLC, and as such, may be deemed a beneficial owner of shares of common stock held by VIF I, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity. Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Reflects shares held by Veritone LOC I, LLC ("VLOC"). Mr. Steelberg does not have any voting or dispositive power over the shares, and accordingly disclaims beneficial ownership of all of such shares. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any of the securities held by such entity. The reporting person is the Manager of NCI Investments, LLC ("NCI"), which is the Manager of BV16, LLC (and his grantor trust owns 50% of the membership interests in NCI). As such, Mr. Steelberg may be deemed a beneficial owner of shares of common stock held by BV16, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity, and Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. /s/ Ellen S. Bancroft, Attorney-in-Fact 2017-08-22