SEC Form 4 · accession 0001593968-18-000597

Veritone, Inc. · VERI

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

Reporting owner

Jeff Patrick Gehl

Director

Period of report

Mar 15, 2018

Accepted (ET)

Mar 19, 2018 · 7:04 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^F2	Mar 15, 2018	J	29,400	$0.00	A	29,400	I	By Trust
Common Stock^F3,F4	holding	—	—		—	43,184	I	By BigBoy, LLC
Common Stock	holding	—	—		—	10,000	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Purchase Warrant (right to buy)^F5,F6	$13.6088	holding	—	—	—	Mar 24, 2017	Mar 24, 2027	Common Stock	3,918	3,918	I
Common Stock Purchase Warrant (right to buy)^F5,F6	$13.6088	holding	—	—	—	Apr 17, 2017	Apr 17, 2027	Common Stock	3,918	3,918	I
Common Stock Purchase Warrant (right to buy)^F5,F6	$13.6088	holding	—	—	—	May 11, 2017	May 11, 2027	Common Stock	3,918	3,918	I
Common Stock Purchase Warrant (right to buy)^F5,F6	$13.6088	holding	—	—	—	May 11, 2017	May 11, 2027	Common Stock	3,918	3,918	I

Explanation of responses

F1Shares were acquired by reporting person, as trustee of his living trust, as a result of a pro rata distribution by BV16, LLC to all of its members.
F2Shares are held by reporting person, as trustee of his living trust.
F3Consists of shares that have been distributed by Veritone LOC I, LLC ("VLOC") to BigBoy, LLC pursuant to a pro rata distribution to all of the members of VLOC. As the Manager 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.
F4Shares are owned by BigBoy, LLC. Reporting person is the Manager of, and owns 50% of the membership interests in, BigBoy, LLC. Reporting person disclaims beneficial ownership of the shares owned by BigBoy, LLC, except to the extent of his pecuniary interest in such shares.
F5Consists of warrants that have been distributed by VLOC to BigBoy, LLC pursuant to a pro rata distribution to all of the members of VLOC. As the Manager 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.
F6Warrants are held by BigBoy, LLC. Reporting person is the Manager of, and owns 50% of the membership interests in, BigBoy, LLC. Reporting person disclaims beneficial ownership of the warrants held by BigBoy, LLC, except to the extent of his pecuniary interest therein.