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