Harms Mark W.B. 4

4 · Vintage Wine Estates, Inc. · Filed Dec 22, 2023

Form 4

Period: 2023-12-21

Director10% Owner

Transactions

Holdings

Warrants to purchase common stock
(indirect: By Bespoke Sponsor Capital LP)
Exercise: $11.50From: 2021-08-11Exp: 2026-06-08→ Common Stock (2,222,228 underlying)
2,222,228
Common Stock
(indirect: By Bespoke Sponsor Capital LP)
1,666,675
Warrants to purchase common stock
Exercise: $11.50From: 2021-08-11Exp: 2026-06-08→ Common Stock (186,569 underlying)
186,569

Footnotes (5)

[F1]These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Vintage Wine Estates, Inc. 2021 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 12/21/2024.
[F2]Includes 78,316 restricted stock units that vest on 12/21/2024.
[F3]Includes 671,695 shares of common stock that were previously reported as being held directly by the Bespoke Sponsor Capital LP.
[F4]The securities reported are held by Bespoke Sponsor Capital LP (the "Sponsor"). Bespoke Capital Partners, LLC ("BCP") is the general partner of the Sponsor and the Reporting Person is the managing member of BCP. The Reporting Person shares voting and investment power with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of such securities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
[F5]These warrants to purchase common stock were previously reported as being held directly by the Bespoke Sponsor Capital LP.

Documents

2 files