Oates Christopher J.

SEC source: 0001593968-20-000419 · primary_01.xml · nonDerivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By NIO Advisors, LLC

Disclosed balance after: 49,484

F1 · kind: Shares were transferred by reporting person by gift to irrevocable trusts. Reporting person no longer has any pecuniary interest in, or voting or dispositive control over, such shares.

F2 · ownership.nature: Shares are held by NIO Advisors, LLC, a limited liability company. Reporting person is the sole member of NIO Advisors, LLC.

SEC source: 0001593968-18-001018 · primary_01.xml · nonDerivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,459

F1 · shares: Consists 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.

SEC source: 0001593968-18-000766 · primary_01.xml · derivative · entry 4

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of common stock.

F1 · kind: Represents the automatic settlement upon vesting of restricted stock units that had been issued to reporting person on May 11, 2017.

F6 · derivative.exercise_date: The restricted stock units vested on May 11, 2018.

F6 · derivative.expiration_date: The restricted stock units vested on May 11, 2018.

SEC source: 0001593968-18-000766 · primary_01.xml · nonDerivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the automatic settlement upon vesting of restricted stock units that had been issued to reporting person on May 11, 2017.

F2 · price: The restricted stock units were converted into common stock on a one-for-one basis, and no purchase price was paid.

SEC source: 0001593968-18-000598 · primary_01.xml · nonDerivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By NIO Advisors, LLC

Disclosed balance after: 55,484

F1 · kind: Shares were acquired by NIO Advisors, LLC as a result of a pro rata distribution by BV16, LLC to all of its members.

F2 · balance_after: Includes 3,302 shares that have been distributed by RimLight, LLC to NIO Advisors, LLC, which shares were previously reported by reporting person as indirectly owned, representing a change in form of indirect ownership only.

F3 · ownership.nature: Shares are held by NIO Advisors, LLC, a limited liability company. Reporting person is the sole member of NIO Advisors, LLC.

SEC source: 0001140361-17-021641 · doc1.xml · derivative · entry 2

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rimlight LLC

Disclosed balance after: 0

Underlying: Common Stock · 20,515 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F1 · price: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F1 · derivative.expiration_date: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F1 · derivative.underlying_shares: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F3 · ownership.nature: Mr. Oates is the managing director of RimLight, LLC and beneficially owns the reported securities indirectly. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purpose of Section 16 or for any other purpose and the reporting person disclaims beneficial ownership of the reported shares as he has no pecuniary interest in the shares.

SEC source: 0001140361-17-021641 · doc1.xml · nonDerivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By RimLight, LLC

Disclosed balance after: 28,759

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F1 · price: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F1 · balance_after: The 27,429 shares of Veritone Series A convertible preferred stock (the "Series A stock") had no expiration date but automatically converted into 20,515 shares of Veritone common stock upon the closing of Veritone's initial public offering. The conversion price reported in Table II Column 8 reflects a 1-for-.6 reverse stock split of the common stock effected in April 2017. The Form 3 filed on behalf of the reporting person on May 11, 2017 erroneously reflected the existing common stock held by reporting person was 13,740 shares, which did not reflect the foregoing reverse stock split. Upon completion of the stock split, the shares of common stock held as of the effective date of the offering should have been reported as 8,244 shares of common stock.

F2 · balance_after: Does not include 52,323 shares of common stock beneficially owned by BV16, LLC, which represents the pecuniary interest of NIO Advisors, LLC in BV16, LLC. Mr. Oates is the Managing Member of NIO Advisors, LLC, but does not have any voting or dispositive power over any of the shares held by BV16, LLC.

F3 · ownership.nature: Mr. Oates is the managing director of RimLight, LLC and beneficially owns the reported securities indirectly. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purpose of Section 16 or for any other purpose and the reporting person disclaims beneficial ownership of the reported shares as he has no pecuniary interest in the shares.

SEC source: 0001140361-17-020883 · doc1.xml · derivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Veritone common stock.

F2 · derivative.exercise_date: The restricted stock units vest upon the earlier of (i) the reporting person's completion of one (1) year of Board service measured from May 11, 2017 (the "Grant Date") or (ii) the day immediately preceding the date of the regular annual stockholders meeting next following the Grant Date.

F2 · derivative.expiration_date: The restricted stock units vest upon the earlier of (i) the reporting person's completion of one (1) year of Board service measured from May 11, 2017 (the "Grant Date") or (ii) the day immediately preceding the date of the regular annual stockholders meeting next following the Grant Date.

SEC source: 0001140361-17-040098 · doc1.xml · derivative · entry 1

Oates Christopher J. · CIK 0001704662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,000

Underlying: Common Stock · 84,000 shares

Expires 2027-05-10

F1 · shares: This Amendment is being filed to add the grant of a stock option that was inadvertently omitted from the original Form 4 filing.

F2 · derivative.exercise_date: Twenty-five percent (25%) of the option shares vest on May 11, 2018 (the first anniversary of the grant date) and the balance of the option shares vest in 36 equal monthly installments thereafter.