0001593968-18-000607.txt : 20180319 0001593968-18-000607.hdr.sgml : 20180319 20180319212723 ACCESSION NUMBER: 0001593968-18-000607 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180315 FILED AS OF DATE: 20180319 DATE AS OF CHANGE: 20180319 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: 18700542 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: 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 4 1 primary_01.xml PRIMARY DOCUMENT X0306 4 2018-03-15 0001615165 Veritone, Inc. VERI 0001704669 Steelberg Chad C/O VERITONE, INC. 575 ANTON BOULEVARD COSTA MESA CA 92626 true true true false CEO, Chairman of the Board Common Stock 18558 D Common Stock 3355387 I By Newport Coast Investments, LLC Common Stock 298287 I By Steel Holdings, LLC Common Stock 589968 I By NCI Investments, LLC Common Stock 215921 I By Steel Veritone Fund I, LLC Stock Option (right to buy) 15.14 2018-03-15 4 A false 136029 0 A 2019-03-15 2028-03-15 Common Stock 136029 136029 D Common Stock Purchase Warrant (right to buy) 13.6088 2017-03-24 2027-03-24 Common Stock 19590 19590 I By Steel Veritone Fund I, LLC Common Stock Purchase Warrant (right to buy) 13.6088 2017-04-17 2027-04-17 Common Stock 19590 19590 I By Steel Veritone Fund I, LLC Common Stock Purchase Warrant (right to buy) 13.6088 2017-05-11 2027-05-11 Common Stock 19591 19591 I By Steel Veritone Fund I, LLC Common Stock Purchase Warrant (right to buy) 13.6088 2017-05-11 2027-05-11 Common Stock 19591 19591 I By Steel Veritone Fund I, LLC Includes 751 shares that have been distributed by VIF I, LLC ("VIF") to reporting person pursuant to a pro rata distribution to all of the members of VIF. As the Manager of VIF, reporting person had previously reported the aggregate number of the shares of the issuer held by VIF as indirectly owned by reporting person and disclaimed beneficial ownership of such shares except to the extent of his pecuniary interest therein. While such distribution has resulted in reporting person now reporting fewer shares owned, it has not changed his pecuniary interest in the shares previously held by VIF and represents a change in form of ownership only. Shares are held by Newport Coast Investments, LLC. The grantor trust of reporting person (of which reporting person is a trustee) is a managing member of Newport Coast Investments, LLC and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Shares are held by Steel Holdings, LLC. Reporting person is the Manager of Steel Holdings, LLC and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Consists of shares that have been distributed by BV16, LLC ("BV16") to NCI Investments, LLC ("NCI") pursuant to a pro rata distribution to all of the members of BV16. As the Manager of NCI (which was the Manager of BV16), reporting person had previously reported the aggregate number of the shares of the issuer held by BV16 as indirectly owned by reporting person and disclaimed beneficial ownership of such shares except to the extent of his pecuniary interest therein. While such distribution has resulted in reporting person now reporting fewer shares owned, it has not changed his pecuniary interest in the shares previously held by BV16 and represents a change in form of indirect ownership only. Shares are held by NCI. Reporting person is the Manager of NCI (and his grantor trust owns 50% of the membership interests in NCI) and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. Consists of shares that have been distributed by Veritone LOC I, LLC ("VLOC") to Steel Veritone Fund I, LLC pursuant to a pro rata distribution to all of the members of VLOC. Reporting person had previously reported the aggregate number of the shares of the issuer held by VLOC as indirectly owned by reporting person and disclaimed beneficial ownership of such shares except to the extent of his pecuniary interest therein. While such distribution has resulted in reporting person now reporting fewer shares owned, it has not changed his pecuniary interest in the shares previously held by VLOC and represents a change in form of indirect ownership only. Shares are held by Steel Veritone Fund I, LLC ("SVF"). Reporting person is the Manager of SVF (and his grantor trust owns 50% of the membership interests in SVF) and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. 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. Consists of warrants that have been distributed by VLOC to SVF pursuant to a pro rata distribution to all of the members of VLOC. Reporting person had previously reported the aggregate number of warrants held by VLOC as indirectly owned by reporting person and disclaimed beneficial ownership of such warrants except to the extent of his pecuniary interest therein. While such distribution has resulted in reporting person now reporting fewer warrants, it has not changed his pecuniary interest in the warrants previously held by VLOC and represents a change in form of indirect ownership only. Warrants are held by SVF. Reporting person is the Manager of SVF (and his grantor trust owns 50% of the membership interests of SVF). Reporting person disclaims beneficial ownership of the warrants held by SVF, except to the extent of his pecuniary interest therein. /s/Jeffrey B. Coyne, as attorney-in-fact for reporting person 2018-03-19