Steelberg Ryan

SEC source: 0001593968-20-001495 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,633

F1 · shares: Consists of restricted stock units representing the right to receive upon vesting a total of 140,000 shares of the issuer's common stock. All such restricted stock units will vest on the first anniversary of the grant date, subject to the continuous service of reporting person with the issuer.

SEC source: 0001593968-20-001411 · primary_01.xml · nonDerivative · entry 2

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Living Trust

Disclosed balance after: 117,402

F3 · price: Reflects the weighted-average purchase price for shares purchased in multiple transactions at prices ranging from $12.21 to $12.42 per share. Reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Shares are held by reporting person as trustee of a living trust.

SEC source: 0001593968-20-001411 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Living Trust

Disclosed balance after: 108,752

F1 · price: Reflects the weighted-average purchase price for shares purchased in multiple transactions at prices ranging from $11.067 to $11.98 per share. Reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Shares are held by reporting person as trustee of a living trust.

SEC source: 0001593968-20-001309 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Living Trust

Disclosed balance after: 100,701

F1 · price: Reflects the weighted-average purchase price for shares purchased in multiple transactions at prices ranging from $8.38 to $8.53 per share. Reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Shares are held by reporting person as trustee of a living trust.

SEC source: 0001593968-20-001095 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,633

F1 · shares: Consists of restricted stock units representing the right to receive upon vesting a total of 72,633 shares of the issuer's common stock. All such restricted stock units will vest on January 3, 2021, subject to the continuous service of reporting person with the issuer.

SEC source: 0001593968-19-001441 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Living Trust

Disclosed balance after: 88,821

F1 · ownership.nature: Shares are held by reporting person as trustee of a living trust.

SEC source: 0001593968-19-001245 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Living Trust

Disclosed balance after: 55,577

F1 · ownership.nature: Shares are held by reporting person as trustee of a living trust.

SEC source: 0001593968-19-001146 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Living Trust

Disclosed balance after: 30,376

F1 · ownership.nature: Shares are held by reporting person as trustee of a living trust.

SEC source: 0001593968-18-001012 · primary_01.xml · derivative · entry 5

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,357,425

Underlying: Common Stock · 1,357,425 shares

Expires 2028-05-06

F5 · date: Stock option grant was approved by a special committee of the Board of Directors of the issuer on May 6, 2018, subject to approval by stockholders, and was approved by stockholders on June 29, 2018.

F6 · derivative.exercise_date: Stock option will become exercisable in three equal tranches based on the achievement of stock price goals for the issuer's common stock of $49.15 per share, $98.31 per share and $196.62 per share, respectively, subject to the reporting person's continued service as the issuer's President, or in such other position as may be approved by the Compensation Committee of the issuer's Board of Directors.

SEC source: 0001593968-18-001012 · primary_01.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,671

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

SEC source: 0001593968-18-000608 · primary_01.xml · derivative · entry 5

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,015

Underlying: Common Stock · 68,015 shares

Expires 2028-03-15

F6 · derivative.exercise_date: 25% of the shares subject to the option will vest on the first anniversary of the grant date, and 1/48th of the shares subject to the option will vest in monthly installments thereafter, subject to the continuous service of reporting person with the issuer.

SEC source: 0001140361-17-021809 · doc1.xml · derivative · entry 10

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By VLOC

Disclosed balance after: 39,180

Underlying: Common Stock · 39,180 shares

Expires 2027-05-11

F3 · derivative.underlying_shares: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · ownership.nature: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

SEC source: 0001140361-17-021809 · doc1.xml · derivative · entry 9

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By VLOC

Disclosed balance after: 39,180

Underlying: Common Stock · 39,180 shares

Expires 2027-05-11

F3 · derivative.underlying_shares: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · ownership.nature: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

SEC source: 0001140361-17-021809 · doc1.xml · derivative · entry 8

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By VLOC

Disclosed balance after: 39,180

Underlying: Common Stock · 39,180 shares

Expires 2027-04-17

F3 · derivative.underlying_shares: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · ownership.nature: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

SEC source: 0001140361-17-021809 · doc1.xml · derivative · entry 7

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By VLOC

Disclosed balance after: 39,180

Underlying: Common Stock · 39,180 shares

Expires 2027-03-24

F3 · derivative.underlying_shares: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · ownership.nature: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

SEC source: 0001140361-17-021809 · doc1.xml · derivative · entry 6

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By VLOC

Disclosed balance after: 0

Underlying: Common Stock · 295,278 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.

F3 · derivative.expiration_date: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · derivative.underlying_shares: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · ownership.nature: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

SEC source: 0001140361-17-021809 · doc1.xml · derivative · entry 5

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Newport

Disclosed balance after: 0

Underlying: Common Stock · 2,393,613 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 · derivative.exercise_price: The 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F1 · shares: The 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F1 · derivative.expiration_date: The 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F1 · derivative.underlying_shares: The 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F2 · ownership.nature: The reporting person is a trustee of his grantor trust, which is one of the managing members of Newport Coast Investments, LLC ("Newport"), and as such, Mr. Steelberg may be deemed a beneficial owner of shares of common stock directly held by Newport. 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 (the "Exchange Act") or otherwise, the beneficial owner of all of the securities held by such entity, and Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001140361-17-021809 · doc1.xml · nonDerivative · entry 2

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By VLOC

Disclosed balance after: 445,278

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.

F3 · price: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

F3 · ownership.nature: At the effective date of the issuer's initial public offering ("IPO"), Veritone LOC I, LLC ("VLOC") held 150,000 shares of common stock and four warrants, each to purchase 30,000 shares of common stock. These shares and warrants were inadvertently omitted from the reporting person's Form 3, although the reporting person does not have any voting or dispositive power over the shares or warrants and disclaims beneficial ownership of these shares. The reporting person's grantor trust owns 50% of the membership interests in the Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC. On May 17, 2017, upon completion of the IPO, (i) the number of shares underlying each warrant was automatically increased to 39,180 shares, and all of the outstanding principal and accrued interest in the issuer's secured convertible note payable to VLOC was converted into 295,278 shares of common stock. This filing shall not be deemed an admission that the reporting person

SEC source: 0001140361-17-021809 · doc1.xml · nonDerivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Newport

Disclosed balance after: 3,355,387

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 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F1 · price: The 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F1 · balance_after: The 3,205,917 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 2,393,613 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 .6 for-1 reverse stock split of the common stock effected in April 2017.

F2 · ownership.nature: The reporting person is a trustee of his grantor trust, which is one of the managing members of Newport Coast Investments, LLC ("Newport"), and as such, Mr. Steelberg may be deemed a beneficial owner of shares of common stock directly held by Newport. 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 (the "Exchange Act") or otherwise, the beneficial owner of all of the securities held by such entity, and Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001140361-17-020888 · doc1.xml · derivative · entry 2

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,409

Underlying: Common Stock · 522,409 shares

Expires 2027-05-10

F2 · derivative.exercise_date: The shares of common stock subject to his option shall vest in full upon the earlier of (i) the date the market capitalization of the Issuer equals or exceeds $400,000,000 for at least five consecutive trading days, or (ii) May 17, 2022, provided that Reporting Person is still in the service of the Issuer.

SEC source: 0001140361-17-020888 · doc1.xml · derivative · entry 1

Steelberg Ryan · CIK 0001705446 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,044,819

Underlying: Common Stock · 1,044,819 shares

Expires 2027-05-10

F1 · derivative.exercise_date: The shares of common stock subject to this option will vest in 36 equal monthly installments upon the completion of each month of service by the Reporting Person over the three (3) year period measured from May 11, 2017.