Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Veritone, Inc.VERI · Entity 6925 | Director · 10% owner | December 13, 2024 | December 17, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Veritone, Inc.
Report date December 13, 2024 · Filed December 17, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,861 |
Reported balance
After 2024-12-13 transaction · row 1
1 source rowRow 1 · 2024-12-13 · Sale · Disposed 504,657 · Balance 31,861 F1: Consists of a promissory note representing a principal amount equal to the purchase price of the shares bearing interest at the current market rate. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Steel Holdings, LLC | 59,229 |
Reported balance
Holding disclosure · report date 2024-12-13 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 59,229 F2: Reporting person is the sole manager and member of Steel Holdings, LLC. |
| Common StockSEC Table I · non-derivative | IndirectThe C&CS Family Trust dated September 7, 2012 | 59,629 |
Reported balance
Holding disclosure · report date 2024-12-13 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 59,629 F3: Reporting person is the trustee of The C&CS Family Trust dated September 7, 2012 and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectHeld by CSVH, LLC | 160,426 |
Reported balance
Holding disclosure · report date 2024-12-13 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 160,426 F4: Reporting person is the sole manager and member of CSVH, LLC. |
| Common StockSEC Table I · non-derivative | IndirectHeld by spouse as custodian | 425,603 |
Reported balance
Holding disclosure · report date 2024-12-13 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 425,603 F5: Shares are held by reporting person's spouse, as custodian for his minor daughter. Reporting person disclaims beneficial ownership of such shares. Reporting person no longer has a reportable interest in 425,603 shares and 425,603 shares held by reporting person's son and daughter, respectively, which shares have been previously included in the reporting person's prior ownership reports. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of a promissory note representing a principal amount equal to the purchase price of the shares bearing interest at the current market rate.
F2: Reporting person is the sole manager and member of Steel Holdings, LLC.
F3: Reporting person is the trustee of The C&CS Family Trust dated September 7, 2012 and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
F4: Reporting person is the sole manager and member of CSVH, LLC.
F5: Shares are held by reporting person's spouse, as custodian for his minor daughter. Reporting person disclaims beneficial ownership of such shares. Reporting person no longer has a reportable interest in 425,603 shares and 425,603 shares held by reporting person's son and daughter, respectively, which shares have been previously included in the reporting person's prior ownership reports.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 17, 2017 Filed May 19, 2017 21:55 UTC | Veritone, Inc. VERI · Entity 6925 | ConversionCommon Stock | 2,393,613 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-021640 · doc1.xml · nonDerivative · entry 1 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Newport Coast Investments, LLC 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 1-for-.6 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 1-for-.6 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 1-for-.6 reverse stock split of the common stock effected in April 2017. F3 · ownership.nature: Mr. Steelberg 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | GrantBridge Common Stock Purchase Warrant (IPO Tranche 2) · Derivative | 39,180 | $0.00 Strike: $13.61 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 13 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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 F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | GrantBridge Common Stock Purchase Warrants (IPO Tranche 1) · Derivative | 39,180 | $0.00 Strike: $13.61 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 12 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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 F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | GrantBridge Common Stock Purchase Warrant (Tranche B) · Derivative | 39,180 | $0.00 Strike: $13.61 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 11 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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 F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | GrantBridge Common Stock Purchase Warrant (Tranche A) · Derivative | 39,180 | $0.00 Strike: $13.61 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 10 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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 F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionSecured Convertible Promissory Bridge Note · Derivative | 295,278 | $0.00 Strike: $13.61 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 9 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionSeries B Convertible Preferred Stock · Derivative | 103,093 | $0.00 Strike: $8.80 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 8 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By VIF I, LLC Disclosed balance after: 0 Underlying: Common Stock · 76,970 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. F3 · shares: The 103,093 shares of Veritone Series B convertible preferred stock had no expiration date but automatically converted into 76,970 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. F3 · derivative.expiration_date: The 103,093 shares of Veritone Series B convertible preferred stock had no expiration date but automatically converted into 76,970 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. F3 · derivative.underlying_shares: The 103,093 shares of Veritone Series B convertible preferred stock had no expiration date but automatically converted into 76,970 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. F6 · ownership.nature: The reporting person is the Manager and one of the members of VIF I, LLC, and as such, may be deemed a beneficial owner of shares of common stock directly held by VIF I, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity. Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionSeries A Convertible Preferred Stock · Derivative | 285,000 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 7 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Steel Holdings, LLC Disclosed balance after: 0 Underlying: Common Stock · 212,787 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. F2 · shares: The 285,000 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 212,787 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 · derivative.expiration_date: The 285,000 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 212,787 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 · derivative.underlying_shares: The 285,000 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 212,787 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. F5 · ownership.nature: The reporting person is the Manager of Steel Holdings, LLC, and as such, may be deemed a beneficial owner of shares of common stock directly held by Steel Holdings, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionSeries A Convertible Preferred Stock · Derivative | 3,205,917 | $0.00 Strike: $2.94 | $0.00 |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · derivative · entry 6 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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. F4 · 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionCommon Stock | 295,278 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · nonDerivative · entry 4 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · balance_after: 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. F7 · 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. The reporting person is the Manager of Steel Veritone I Fund ("Steel Fund"), which owns 50% of the membership interests of VLOC (and his grantor trust owns 50% of the membership interests in Steel Fund), but the reporting person does not have any voting or dispositive power over the shares and warrants held by VLOC, and Mr. Steelberg disclaims beneficial ownership in such shares. 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. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionCommon Stock | 76,970 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · nonDerivative · entry 3 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By VIF I, LLC Disclosed balance after: 76,970 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 · shares: The 103,093 shares of Veritone Series B convertible preferred stock had no expiration date but automatically converted into 76,970 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. F3 · price: The 103,093 shares of Veritone Series B convertible preferred stock had no expiration date but automatically converted into 76,970 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. F3 · balance_after: The 103,093 shares of Veritone Series B convertible preferred stock had no expiration date but automatically converted into 76,970 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. F6 · ownership.nature: The reporting person is the Manager and one of the members of VIF I, LLC, and as such, may be deemed a beneficial owner of shares of common stock directly held by VIF I, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity. Mr. Steelberg disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionCommon Stock | 212,787 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · nonDerivative · entry 2 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Steel Holdings, LLC Disclosed balance after: 298,287 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. F2 · shares: The 285,000 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 212,787 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 · price: The 285,000 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 212,787 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 · balance_after: The 285,000 shares of Veritone Series A convertible preferred stock had no expiration date but automatically converted into 212,787 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. F5 · ownership.nature: The reporting person is the Manager of Steel Holdings, LLC, and as such, may be deemed a beneficial owner of shares of common stock directly held by Steel Holdings, LLC. This filing shall not be deemed an admission that the reporting person is, for the purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of all of the securities held by such entity. Read SEC document |
| May 17, 2017 Filed May 22, 2017 21:39 UTC Amendment | Veritone, Inc. VERI · Entity 6925 | ConversionCommon Stock | 2,393,613 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-021810 · doc1.xml · nonDerivative · entry 1 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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. F4 · 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. Read SEC document |
| May 11, 2017 Filed May 15, 2017 21:06 UTC | Veritone, Inc. VERI · Entity 6925 | GrantPerformance Stock Option (Right to Purchase) · Derivative | 522,409 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001140361-17-020887 · doc1.xml · derivative · entry 2 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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. Read SEC document |
| May 11, 2017 Filed May 15, 2017 21:06 UTC | Veritone, Inc. VERI · Entity 6925 | GrantStock Option (Right to Purchase) · Derivative | 1,044,819 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001140361-17-020887 · doc1.xml · derivative · entry 1 Steelberg Chad · CIK 0001704669 · Director · CEO and Chairman · 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.