Statement of Changes in Beneficial Ownership (4)
January 12 2021 - 04:46PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * GRAZIADIO G LOUIS
III |
2. Issuer Name and Ticker or Trading
Symbol Veritone, Inc. [ VERI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
_____ Officer (give title
below) _____ Other
(specify below)
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(Last)
(First)
(Middle)
149 PALOS VERDES BLVD., SUITE G |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/8/2021
|
(Street)
REDONDO BEACH, CA 90277
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
1/8/2021 |
|
S(1) |
|
982 |
D |
$36.4 |
134283 |
D |
|
Common Stock |
1/8/2021 |
|
S(1) |
|
6333 |
D |
$36.4 |
315166 |
I |
By Graziadio Family Trust (2) |
Common Stock |
1/8/2021 |
|
S(1) |
|
1066 |
D |
$36.4 |
7134 |
I |
By Annuity Trust (3) |
Common Stock |
1/8/2021 |
|
S(1) |
|
166 |
D |
$36.4 |
6434 |
I |
By Ginarra (4) |
Common Stock |
1/8/2021 |
|
S(1) |
|
132 |
D |
$36.4 |
3368 |
I |
By spouse |
Common Stock |
1/8/2021 |
|
S(1) |
|
166 |
D |
$36.4 |
4534 |
I |
By son |
Common Stock |
1/8/2021 |
|
S(1) |
|
166 |
D |
$36.4 |
4534 |
I |
By daughter |
Common Stock |
1/8/2021 |
|
S(1) |
|
545 |
D |
$36.4 |
16091 |
I |
By Ginmarra (5) |
Common Stock |
1/8/2021 |
|
S(1) |
|
258 |
D |
$36.4 |
4517 |
I |
By Gino Trust (6) |
Common Stock |
1/8/2021 |
|
S(1) |
|
258 |
D |
$36.4 |
4517 |
I |
By Marianna Trust (7) |
Common Stock |
1/8/2021 |
|
S(1) |
|
166 |
D |
$36.4 |
2334 |
I |
By Foundation (8) |
Common Stock |
1/8/2021 |
|
S(1) |
|
2135 |
D |
$36.4 |
59271 |
I |
By Boss Holdings, Inc. (9) |
Common Stock |
1/8/2021 |
|
S(1) |
|
596 |
D |
$36.4 |
3693 |
I |
By Western Metals Corporation (10) |
Common Stock |
1/8/2021 |
|
S(1) |
|
1666 |
D |
$36.4 |
13034 |
I |
By Graziadio Dynasty Trust II (11) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Sale was effected pursuant
to a Rule 10b5-1 trading plan established by the holder effective
as of August 17, 2020. |
(2) |
These 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 children in such
shares. |
(3) |
These shares are owned by
the George & Reva Graziadio Charitable Lead Annuity Trust
("Annuity Trust") as to which Mr. Graziadio is the trustee and the
children of Mr. Graziadio 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
children in such shares. |
(4) |
These shares are owned by
Ginarra Partners, LLC ("Ginarra"), a limited liability company
majority owned by GFT 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 children in such shares. |
(5) |
These shares are owned by
Ginmarra Investors Fund 1 LLC ("Ginmarra"), a limited liability
company majority owned by GFT 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. |
(6) |
These shares are owned by
George & Reva Graziadio Grandchildren Trust II for the benefit
of the son of Mr. Graziadio, 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 son in such
shares. |
(7) |
These shares are owned by
George & Reva Graziadio Grandchildren Trust II for the benefit
of the daughter of Mr. Graziadio, 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
daughter in such shares. |
(8) |
These shares are owned by
the George and Reva Graziadio Foundation (the "Foundation"), a
charitable foundation established by the parents of Mr. Graziadio,
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 shares owned by the
Foundation as he has no pecuniary interest in such
shares. |
(9) |
These 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. |
(10) |
These 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. |
(11) |
These shares are owned by
the Graziadio Dynasty Trust II for the benefit of reporting
person. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
GRAZIADIO G LOUIS III
149 PALOS VERDES BLVD.
SUITE G
REDONDO BEACH, CA 90277 |
X |
|
|
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Signatures
|
/s/Jeffrey B. Coyne, as attorney-in-fact for
reporting person |
|
1/12/2021 |
**Signature of
Reporting Person |
Date |