0001593968-18-001013.txt : 20180703 0001593968-18-001013.hdr.sgml : 20180703 20180703165053 ACCESSION NUMBER: 0001593968-18-001013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180507 FILED AS OF DATE: 20180703 DATE AS OF CHANGE: 20180703 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: 18938089 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 2018-05-07 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 2018-05-07 5 G false E 298287 0 D 69984 D Common Stock 3355387 I By Newport Coast Investments, LLC Common Stock 589968 I By NCI Investments, LLC Common Stock 215921 I By Steel Veritone Fund I, LLC Stock Option (right to buy) 21.25 2018-06-29 4 A false 1809900 0 A 2028-05-06 Common Stock 1809900 1809900 D Shares were transferred by reporting person by gift to an irrevocable trust. Reporting person no longer has any pecuniary interest in, or voting or dispositive control over, such shares. Shares transferred by reporting person by gift consist of all shares that had been held by Steel Holdings, LLC ("Steel Holdings") and previously reported as owned indirectly by reporting person. Such shares were distributed by Steel Holdings to reporting person as its member (representing a change in form of ownership only) prior to such gift. 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 NCI Investments, LLC ("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. 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. Stock option grant was approved by a special committee of the Board of Directors of the issuer on May 6, 2018, subject to approval by stockholders, and was approved by stockholders on June 29, 2018. Stock option will become exercisable in three equal tranches based on the achievement of stock price goals for the issuer's common stock of $49.15 per share, $98.31 per share and $196.62 per share, respectively, subject to the reporting person's continued service as the issuer's Chief Executive Officer. Box 3 reflects the date of a gift that is being reported voluntarily on this Form 4. The date of the earliest transaction required to be reported on this Form 4 is June 29, 2018. /s/Jeffrey B. Coyne, as attorney-in-fact for reporting person 2018-07-03