SEC Form 4 · accession 0001593968-18-001018
Veritone, Inc. · VERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher J. Oates
Director
Period of report
Jun 29, 2018
Accepted (ET)
Jul 3, 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 StockF1 | Jun 29, 2018 | A | 4,459 | $0.00 | A | 9,459 | D | |
| Common StockF2 | holding | — | — | — | 25,457 | I | By RimLight, LLC | |
| Common StockF3 | holding | — | — | — | 55,484 | I | By NIO Advisors, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of restricted stock units representing the right to receive upon vesting a total of 4,459 shares of the issuer's common stock. All such restricted stock units will vest on the earlier of (i) June 29, 2019, and (ii) the day immediately preceding the date of the issuer's 2019 annual meeting of stockholders.
- F2Shares 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.
- F3Shares are held by NIO Advisors, LLC, a limited liability company. Reporting person is the sole member of NIO Advisors, LLC.