<SEC-DOCUMENT>0001193125-24-100830.txt : 20240418
<SEC-HEADER>0001193125-24-100830.hdr.sgml : 20240418
<ACCEPTANCE-DATETIME>20240418162930
ACCESSION NUMBER:		0001193125-24-100830
CONFORMED SUBMISSION TYPE:	DEFA14A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20240418
DATE AS OF CHANGE:		20240418

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Veritone, Inc.
		CENTRAL INDEX KEY:			0001615165
		STANDARD INDUSTRIAL CLASSIFICATION:	SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374]
		ORGANIZATION NAME:           	06 Technology
		IRS NUMBER:				471161641
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		DEFA14A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38093
		FILM NUMBER:		24854635

	BUSINESS ADDRESS:	
		STREET 1:		1615 PLATTE STREET
		STREET 2:		2ND FLOOR
		CITY:			DENVER
		STATE:			CO
		ZIP:			80202
		BUSINESS PHONE:		888-507-1737

	MAIL ADDRESS:	
		STREET 1:		1615 PLATTE STREET
		STREET 2:		2ND FLOOR
		CITY:			DENVER
		STATE:			CO
		ZIP:			80202
</SEC-HEADER>
<DOCUMENT>
<TYPE>DEFA14A
<SEQUENCE>1
<FILENAME>d808669ddefa14a.htm
<DESCRIPTION>DEFA14A
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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>WASHINGTON, D.C. 20549 </B></P> <P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT REPORT
</B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section 13 or 15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported): April 12, 2024 </B></P>
<P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Veritone, Inc. </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact
name of Registrant as Specified in Its Charter) </B></P> <P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-38093</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">47-1161641</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>(State or Other Jurisdiction<BR>of Incorporation)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Commission<BR>File Number)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(IRS Employer<BR>Identification No.)</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>1615 Platte Street</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>2nd Floor</B></P></TD>
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<TD VALIGN="bottom" ALIGN="center"><B>Denver, Colorado</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center"><B>80202</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>(Address of Principal Executive Offices)</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Registrant&#146;s Telephone Number, Including Area Code: (888)
<FONT STYLE="white-space:nowrap">507-1737</FONT> </B></P> <P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former Name or Former Address, if Changed Since Last Report) </B></P>
<P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9746;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Securities registered pursuant to Section&nbsp;12(b) of the Act: </P> <P STYLE="font-size:9pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Title of each class</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Trading<BR>Symbol(s)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Name of each exchange<BR>on which registered</B></P></TD></TR>


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<TD VALIGN="top" ALIGN="center">Common Stock, par value $0.001 per share</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">VERI</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">The Nasdaq Stock Market LLC</TD></TR>
</TABLE> <P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 (&#167; 230.405 of this chapter) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 (&#167; <FONT STYLE="white-space:nowrap">240.12b-2</FONT> of this chapter). </P>
<P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Emerging growth company &#9744; </P> <P STYLE="margin-top:9pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">If an emerging growth company,
indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&nbsp;13(a) of the Exchange Act. &#9744; </P>
<P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>
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<TD WIDTH="11%" VALIGN="top" ALIGN="left"><B>Item&#8201;5.02</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers. </B></P></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On April&nbsp;12, 2024, Jeffrey P. Gehl informed Veritone, Inc. (the
&#147;Company&#148;) of his decision not to stand for <FONT STYLE="white-space:nowrap">re-election</FONT> as a Class&nbsp;I Director at the Company&#146;s 2024 annual meeting of stockholders, currently scheduled to be held on June&nbsp;13, 2024 (the
&#147;Annual Meeting&#148;). Mr.&nbsp;Gehl also informed the Company of his decision to resign as a member of the Board of Directors of the Company (the &#147;Board&#148;), any committee of the Board on which he serves, and from any and all other
positions held by him at the Company or any of its subsidiaries, including as a member of any board, committee or subcommittee of any subsidiary of the Company, effective immediately prior to the commencement of the Annual Meeting. Mr.&nbsp;Gehl
will continue to serve as a member of the Board until immediately prior to the Annual Meeting. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Mr.&nbsp;Gehl&#146;s decisions not to
stand for <FONT STYLE="white-space:nowrap">re-election</FONT> and to resign from the Board immediately prior to the Annual Meeting are not the result of any dispute or disagreement between him and the Company, its management, the Board or any
committee of the Board regarding the Company&#146;s operations, policies or practices. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Board has nominated Michael Keithley to stand
for election as a Class I Director at the Annual Meeting. Mr. Keithley most recently served as Chief Information Officer at United Talent Agency. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Additional Information and Where to Find It </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In connection with the nomination of Michael Keithley to the Board (the &#147;Director Nomination&#148;), the Company intends to file with the
U.S. Securities and Exchange Commission (the &#147;SEC&#148;) a definitive proxy statement (the &#147;Proxy Statement&#148;) relating to the Director Nomination. Following the filing of the Proxy Statement with the SEC, the Company will mail the
Proxy Statement and a proxy card to the Company&#146;s stockholders as of a record date to be established for voting on the Director Nomination and any other matters to be voted on at the annual meeting of the Company&#146;s shareholders. BEFORE
MAKING ANY VOTING OR INVESTMENT DECISION, SHAREHOLDERS OF THE COMPANY ARE URGED TO CAREFULLY READ THE PROXY STATEMENT IN ITS ENTIRETY (INCLUDING ALL AMENDMENTS AND SUPPLEMENTS THERETO) AND ANY OTHER DOCUMENTS RELATING TO THE DIRECTOR NOMINATION THAT
WILL BE FILED WITH THE SEC OR INCORPORATED BY REFERENCE THEREIN WHEN THEY BECOME AVAILABLE BECAUSE THEY WILL CONTAIN IMPORTANT INFORMATION ABOUT THE DIRECTOR NOMINATION. Investors and shareholders will be able to obtain copies of the Proxy Statement
(when available) and other documents filed by the Company with the SEC, without charge, through the website maintained by the SEC at <U>www.sec.gov</U>. Copies of the documents filed with the SEC by the Company will be available free of charge under
the Investors section of the Company&#146;s website <U>www.veritone.com</U>. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Participants in the Solicitation </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company and its directors and executive officers are deemed participants in the solicitation of proxies from the shareholders of the
Company in relation to matters related to the Director Nomination and any other matters to be voted on at the annual meeting of shareholders of the Company. Information regarding the Company&#146;s directors and executive officers, including a
description of their direct or indirect interests, by security holdings or otherwise, can be found under the captions &#147;<I>Security Ownership of Certain Beneficial Owners and Management</I>,&#148; &#147;<I>Executive Compensation</I>,&#148; and
&#147;<I>Director Compensation</I>&#148; contained in the proxy statement for the Company&#146;s 2023 Annual Meeting of Shareholders filed with the SEC on April&nbsp;27, 2023 (the &#147;2023 Proxy Statement&#148;). To the extent that the
Company&#146;s directors and executive officers and their respective affiliates have acquired or disposed of security holdings since the applicable &#147;as of&#148; date disclosed in the 2023 Proxy Statement, such transactions have been or will be
reflected on Statements of Changes in Beneficial Ownership on Form&nbsp;4 filed with the SEC. Since the &#147;as of&#148; date in the 2023 Proxy Statement, (a)&nbsp;Mr. Gehl had a grant of 12,196 restricted stock units of the Company
(&#147;RSUs&#148;) that vested on June&nbsp;8, 2023, and received a grant of 37,220 RSUs that will vest on June&nbsp;8, 2024 provided that he continues to serve on the Board at such date; (b)&nbsp;Mr. Kurtz had a grant of 12,196 RSUs that vested on
June&nbsp;8, 2023, and received a grant of 37,220 RSUs that will vest on June&nbsp;8, 2024 provided that he continues to serve on the Board at such date; (c)&nbsp;Mr. Taketa had a grant of 12,196 RSUs that vested on June&nbsp;8, 2023, and received a
grant of 37,220 RSUs that will vest on June&nbsp;8, 2024 provided that he continues to serve on the Board at such date; (d)&nbsp;Mr. Zilis received a grant of 42,475 RSUs that will vest on June&nbsp;8, 2024 provided that he continues to serve on the
Board at such date; (e)&nbsp;Mr. Ryan Steelberg (i)&nbsp;had a grant of 3,692 RSUs that vested on April&nbsp;22, 2023, of which 1,277 shares were withheld by the Company to satisfy tax withholding obligations; (ii)&nbsp;acquired 49,752 shares of
common stock on November&nbsp;17, 2023; (iii)&nbsp;had a grant of 158,025 RSUs, of which one-third vested on January&nbsp;19, 2024 (21,086 shares of which were withheld by the Company to satisfy tax withholding obligations), and the remaining
two-thirds will vest on January&nbsp;19, 2025 and January&nbsp;19, 2026, subject to his continuous service to the Company on each date; (iv)&nbsp;received grants of 47,076 and 122,399 RSUs on April&nbsp;8, 2024 that will vest monthly over a period
of one year measured from January&nbsp;1, 2024, subject to his continuous service with the Company on each date; and (v)&nbsp;received a grant of 200,000 RSUs on April&nbsp;8, 2024 that vest annually over a period of three years measured from
January&nbsp;1, 2024, subject to his continuous service to the Company on each date; (f)&nbsp;Mr. Zemetra (i) had a grant of 3,692 RSUs that </P>
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vested on April&nbsp;22, 2023, of which 1,244 RSUs were withheld by the Company to satisfy tax withholding obligations; (ii)&nbsp;had a grant of 71,111 RSUs, of which one-third vested on
January&nbsp;19, 2024 (9,714 shares of which were withheld by the Company to satisfy tax withholding obligations), and the remaining two-thirds will vest on January&nbsp;19, 2025 and January&nbsp;19, 2026, subject to his continuous service to the
Company on each date; (iii)&nbsp;had a grant of 28,396 RSUs, of which one-third vested on of January&nbsp;1, 2024 (3,880 shares of which were withheld by the Company to satisfy tax withholding obligations), and the remaining two-thirds will vest on
January&nbsp;1, 2025 and January&nbsp;1, 2026, subject to his continuous service with the issuer on each date; and (iv)&nbsp;received a grant of 72,000 RSUs on April&nbsp;8, 2024, of which one-third will vest on each of January&nbsp;1, 2025,
January&nbsp;1, 2026 and January&nbsp;1, 2027, subject to his continuous service with the issuer on each date; and (g)&nbsp;Mr. Chad Steelberg (i)&nbsp;had a grant of 3,692 RSUs that vested on April&nbsp;22, 2023, of which 1,831 RSUs were withheld
by the Company to satisfy tax withholding obligations; (ii)&nbsp;had 19,743 RSUs that vested on April&nbsp;22, 2023, in connection with the Independent Contractor Services Agreement, dated as of January&nbsp;4, 2023, by and between the Company and
Steel Holdings, LLC, an entity affiliated with Mr. Chad Steelberg (the &#147;Contractor Agreement&#148;); and (iii)&nbsp;had 39,486 RSUs that vested on November&nbsp;15, 2023 in connection with the Contractor Agreement. Other information regarding
the participants in the proxy solicitation and a description of their interests will be contained in the Proxy Statement for the Annual Meeting to be filed with the SEC in respect of the Director Nomination when it becomes available. </P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom"><B>Veritone, Inc.</B></TD></TR>
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<TD VALIGN="bottom">Date: April&nbsp;18, 2024</TD>
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<TD VALIGN="top">By:</TD>
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<TD VALIGN="bottom"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman"><I>/s/ Michael L. Zemetra</I></P></TD></TR>
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<TD VALIGN="bottom"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Michael L. Zemetra</P> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman">Executive Vice President,
Chief Financial Officer and Treasurer</P></TD></TR>
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