SEC Form 4 · accession 0001593968-18-000766
Veritone, Inc. · VERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J. Oates
Director
Period of report
May 11, 2018
Accepted (ET)
May 15, 2018 · 4:58 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 StockF2 | May 11, 2018 | M | 5,000 | — | A | 5,000 | D | |
| Common StockF3 | holding | — | — | — | 25,457 | I | By RimLight, LLC | |
| Common StockF4 | holding | — | — | — | 55,484 | I | By NIO Advisors, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF5,F6 | — | May 11, 2018 | M | 5,000 | D | — | — | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Represents the automatic settlement upon vesting of restricted stock units that had been issued to reporting person on May 11, 2017.
- F2The restricted stock units were converted into common stock on a one-for-one basis, and no purchase price was paid.
- F3Shares are held by RimLight, LLC. Reporting person is the managing director of RimLight, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act of 1934, as amended or otherwise, the beneficial owner of the shares held by such entity, and reporting person disclaims beneficial ownership of the shares.
- F4Shares are held by NIO Advisors, LLC, a limited liability company. Reporting person is the sole member of NIO Advisors, LLC.
- F5Each restricted stock unit represents a right to receive one share of common stock.
- F6The restricted stock units vested on May 11, 2018.