SEC Form 4 · accession 0001140361-17-021065

Veritone, Inc. · VERI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

G Louis Graziadio III

Director

Period of report

May 12, 2017

Accepted (ET)

May 16, 2017 · 9:26 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001615165

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	May 12, 2017	P	30,092	$15.00	A	30,092	D
Common Stock	May 12, 2017	P	41,621	$15.64	A	71,713	D
Common Stock^F1	May 12, 2017	P	3,842	$14.5579	A	75,555	D
Common Stock^F2	May 12, 2017	P	1,281	$13.7836	A	76,836	D
Common Stock^F3	May 12, 2017	P	45,048	$15.00	A	45,048	I	By GFT
Common Stock^F3	May 12, 2017	P	49,818	$15.64	A	94,866	I	By GFT
Common Stock^F1,F3	May 12, 2017	P	5,671	$14.5579	A	100,537	I	By GFT
Common Stock^F2,F3	May 12, 2017	P	1,890	$13.7836	A	102,427	I	By GFT
Common Stock^F4	May 12, 2017	P	5,415	$15.64	A	5,415	I	By Gina Carra
Common Stock^F1,F4	May 12, 2017	P	3,439	$14.5579	A	8,854	I	By Gina Carra
Common Stock^F2,F4	May 12, 2017	P	1,146	$13.7836	A	10,000	I	By Gina Carra
Common Stock^F5	May 12, 2017	P	2,083	$15.64	A	2,083	I	By Ginarra
Common Stock^F1,F5	May 12, 2017	P	688	$14.5579	A	2,771	I	By Ginarra
Common Stock^F2,F5	May 12, 2017	P	229	$13.7836	A	3,000	I	By Ginarra
Common Stock	May 12, 2017	P	1,500	$15.64	A	1,500	I	By Spouse
Common Stock^F6	May 12, 2017	P	1,000	$15.00	A	1,000	I	By minor child
Common Stock^F6	May 12, 2017	P	1,179	$15.64	A	2,179	I	By minor child
Common Stock^F1,F6	May 12, 2017	P	241	$14.5579	A	2,420	I	By minor child
Common Stock^F2,F6	May 12, 2017	P	80	$13.7836	A	2,500	I	By minor child
Common Stock^F7	May 12, 2017	P	1,000	$15.00	A	1,000	I	By minor child
Common Stock^F7	May 12, 2017	P	1,179	$15.64	A	2,179	I	By minor child
Common Stock^F1,F7	May 12, 2017	P	241	$14.5579	A	2,420	I	By minor child
Common Stock^F2,F7	May 12, 2017	P	80	$13.7836	A	2,500	I	By minor child
Common Stock^F1,F8	May 12, 2017	P	12,477	$14.5579	A	12,477	I	By Ginmarra
Common Stock^F2,F8	May 12, 2017	P	4,159	$13.7836	A	16,636	I	By Ginmarra
Common Stock^F9	May 12, 2017	P	2,500	$15.00	A	2,500	I	By Gino Trust
Common Stock^F1,F9	May 12, 2017	P	1,706	$14.5579	A	4,206	I	By Gino Trust
Common Stock^F2,F9	May 12, 2017	P	569	$13.7836	A	4,775	I	By Gino Trust

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.30 to $15.14, inclusive. Mr. Graziadio undertakes to provide to Veritone, Inc. ("Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.31 to $14.20, inclusive. Mr. Graziadio undertakes to provide to Veritone, Inc. ("Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
F3These shares are owned by the Graziadio Family Trust u/d/t 11/13/75 ("GFT"), an irrevocable trust established by Mr. Graziadio for the benefit of his children. Mr. Graziadio is neither a trustee nor a beneficiary of GFT and disclaims beneficial ownership of the shares owned by GFT except to the extent of the pecuniary interest of his minor children in such shares.
F4These shares are owned by Gina-Carra Partnership ("Gina-Carra"), a limited partnership of which Mr. Graziadio is the trustee of one of the general partners, which is a trust for the benefit of an adult daughter of Mr. Graziadio. Mr. Graziadio disclaims beneficial ownership of the shares owned by Gina-Carra as he has no pecuniary interest in such shares.
F5These shares are owned by Ginarra Partners, LLC ("Ginarra"), a limited liability company owned by GFT and Gina-Carra and as to which Mr. Graziadio serves as president of the manager. Mr. Graziadio disclaims beneficial ownership of the shares owned by Ginarra as he has no pecuniary interest in such shares.
F6Shares owned in the name of Mr. Graziadio's minor child, George L. Graziadio IV.
F7Shares owned in the name of Mr. Graziadio's minor child, Marianna R. Graziadio.
F8These shares are owned by Ginmarra Investors Fund 1 LLC ("Ginmarra"), a limited liability company majority owned by GFT, Gina-Carra and Ginarra and as to which Mr. Graziadio serves as president of the manager. Mr. Graziadio disclaims ownership of the shares owned by Ginmarra except to the extent of his pecuniary interest in such shares.
F9These shares are owned by George & Reva Graziadio Grandchildren Trust II for the benefit of Mr. Graziadio's minor child, George L. Graziadio IV ("Gino Trust"). Mr. Graziadio is the trustee of the Gino Trust, but disclaims beneficial ownership of the shares owned by the Gino Trust except to the extent of the pecuniary interest of his minor child in such shares.