4//SEC Filing
Swann Matthew J 4
Accession 0001788230-25-000138
CIK 0001788230other
Filed
Aug 18, 8:00 PM ET
Accepted
Aug 19, 4:15 PM ET
Size
14.3 KB
Accession
0001788230-25-000138
Insider Transaction Report
Form 4
Swann Matthew J
Director
Transactions
- Purchase
Series B Convertible Preferred Stock
2025-06-27$10.00/sh+10,000$100,000→ 10,000 totalExercise: $0.50From: 2025-12-24Exp: 2028-06-27→ Common Stock (264,000 underlying) - Other
Common Stock
2025-08-15+13,315→ 119,065 total - Other
Pre-Funded Warrant to Purchase Common Stock
2025-08-15+133,155→ 133,155 totalExercise: $0.01Exp: 2030-08-08→ Common Stock (133,155 underlying) - Other
Series B Convertible Preferred Stock
2025-08-15−10,000→ 0 totalExercise: $0.50From: 2025-12-24Exp: 2028-06-27→ Common Stock (13,315 underlying) - Other
Pre-Funded Warrant to Purchase Common Stock
2025-08-15+119,839→ 119,839 totalExercise: $0.01Exp: 2030-08-08→ Common Stock (119,839 underlying)
Footnotes (4)
- [F1]On August 15, 2025, the reporting person exchanged 10,000 shares of Series B Convertible Preferred Stock for (i) 13,315 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Heritage Distilling Holding Company, Inc. and (ii) pre-funded warrants to purchase an aggregate of 252,994 shares of Common Stock pursuant to an exchange agreement.
- [F2]The reporting person acquired shares of Series B Convertible Preferred Stock on June 27, 2025, which were inadvertently omitted from the reporting person's prior filings. This Form 4 corrects the prior omission by reporting such acquisition.
- [F3]The pre-funded warrant reported herein will become exercisable on the earlier of (i) three months after the date of issuance of such warrant or (ii) the first trading day after the date of issuance of such warrant on which the closing price of the Common Stock equals or exceeds $1.50 per share.
- [F4]The pre-funded warrant reported herein will become exercisable on the earlier of (i) six months after the date of issuance of such warrant or (ii) the first trading day after the date of issuance of such warrant on which the closing price of the Common Stock equals or exceeds $2.00 per share.
Documents
Issuer
Heritage Distilling Holding Company, Inc.
CIK 0001788230
Entity typeother
Related Parties
1- filerCIK 0002051918
Filing Metadata
- Form type
- 4
- Filed
- Aug 18, 8:00 PM ET
- Accepted
- Aug 19, 4:15 PM ET
- Size
- 14.3 KB