SEC Form 4 · accession 0001140361-17-021252

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 15, 2017

Accepted (ET)

May 17, 2017 · 7:35 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^F1	May 15, 2017	P	4,850	$10.61	A	81,686	D
Common Stock^F1,F2	May 15, 2017	P	4,600	$10.61	A	107,027	I	By GFT
Common Stock^F1,F3	May 15, 2017	P	500	$10.61	A	10,500	I	By Gina Carra
Common Stock^F1,F4	May 15, 2017	P	300	$10.61	A	3,300	I	By Ginarra
Common Stock^F1	May 15, 2017	P	300	$10.61	A	1,800	I	By Spouse
Common Stock^F1,F5	May 15, 2017	P	200	$10.61	A	2,700	I	By minor child
Common Stock^F1,F6	May 15, 2017	P	200	$10.61	A	2,700	I	By minor child
Common Stock^F1,F7	May 15, 2017	P	1,200	$10.61	A	8,056	I	By Annuity Trust
Common Stock^F8	holding	—	—		—	16,636	I	By Ginmarra
Common Stock^F9	holding	—	—		—	4,775	I	By Gino Trust
Common Stock^F10	holding	—	—		—	4,775	I	By Marianna Trust
Common Stock^F11	holding	—	—		—	2,500	I	By Foundation
Common Stock^F12	holding	—	—		—	61,406	I	By Boss Holdings
Common Stock^F13	holding	—	—		—	4,289	I	By Western Metals

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 $10.42 to $10.75, 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.
F10These shares are owned by George & Reva Graziadio Grandchildren Trust II for the benefit of Mr. Graziadio's minor child, Marianna Graziadio ("Marianna Trust"). Mr. Graziadio is the trustee of the Marianna Trust, but disclaims beneficial ownership of the shares owned by the Marianna Trust except to the extent of the pecuniary interest of his minor child in such shares.
F11These shares are owned by the George and Reva Graziadio Foundation (the "Foundation"), a charitable foundation established by Mr. Graziadio's parents, as to which Mr. Graziadio has no pecuniary interest. Mr. Graziadio is one of three directors of the Foundation, does not have the right to control disposition of the shares owned by the Foundation and disclaims beneficial ownership of the the shares owned by the Foundation as he has no pecuniary interest in such shares.
F12These shares are owned by Boss Holdings, Inc. ("Boss Holdings"), a corporation as to which Mr. Graziadio, GFT and Ginarra together are majority shareholders and Mr. Graziadio is chairman and chief executive officer. Mr. Graziadio disclaims beneficial ownership of the shares owned by Boss Holdings except to the extent of his pecuniary interest in such shares.
F13These shares are owned by Western Metals Corporation ("Western Metals"), a corporation as to which GFT and Ginarra beneficially own a significant pecuniary interest and Mr. Graziadio is the president. Mr. Graziadio disclaims beneficial ownership of the shares owned by Western Metals except to the extent of his pecuniary interest in such shares.
F2These 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.
F3These 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.
F4These 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 except to the extent of the pecuniary interest of his minor children in such shares.
F5Shares owned in the name of Mr. Graziadio's minor child, George L. Graziadio IV.
F6Shares owned in the name of Mr. Graziadio's minor child, Marianna R. Graziadio.
F7These shares are owned by the George & Reva Graziadio Charitable Lead Annuity Trust ("Annuity Trust") as to which Mr. Graziadio is the trustee and Mr. Graziadio's minor children are remainder beneficiaries. Mr. Graziadio disclaims beneficial ownership of the shares owned by the Annuity Trust except to the extent of the pecuniary interest of his minor children in such shares.
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.