0001062993-23-015162.txt : 20230721 0001062993-23-015162.hdr.sgml : 20230721 20230721163102 ACCESSION NUMBER: 0001062993-23-015162 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230720 FILED AS OF DATE: 20230721 DATE AS OF CHANGE: 20230721 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnston Kristina L CENTRAL INDEX KEY: 0001917305 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40016 FILM NUMBER: 231102868 MAIL ADDRESS: STREET 1: 937 TAHOE BLVD. STREET 2: SUITE 210 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Vintage Wine Estates, Inc. CENTRAL INDEX KEY: 0001834045 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 000000000 STATE OF INCORPORATION: NV FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 937 TAHOE BOULEVARD STREET 2: SUITE 210 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 BUSINESS PHONE: 707-346-3640 MAIL ADDRESS: STREET 1: 937 TAHOE BOULEVARD STREET 2: SUITE 210 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 FORMER COMPANY: FORMER CONFORMED NAME: Bespoke Capital Acquisition Corp DATE OF NAME CHANGE: 20201125 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-07-20 0001834045 Vintage Wine Estates, Inc. VWE 0001917305 Johnston Kristina L 937 TAHOE BOULEVARD, SUITE 210 INCLINE VILLAGE NV 89451 0 1 0 0 Chief Financial Officer 0 Common Stock 2023-07-20 4 A 0 250000 0 A 579038 D Common Stock 2023-07-20 4 A 0 500000 0 A 1079038 D Stock Option (right to buy) 1.5 2023-07-20 4 A 0 62500 0 A 2033-07-20 Common Stock 62500 62500 D Stock Option (right to buy) 1.5 2023-07-20 4 A 0 187500 0 A 2033-07-20 Common Stock 187500 187500 D Stock Option (right to buy) 10.5 2032-03-07 Common Stock 658076 658076 D These restricted stock units ("RSUs"), which convert into common stock on a one-for-one basis, were granted under the Vintage Wine Estates, Inc. 2021 Omnibus Incentive Plan (the "Plan") in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award agreement, vest in two equal installments on each of 7/20/2024 and 7/20/2025. These RSUs, which convert into common stock on a one-for-one basis, were granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award agreement, vest in four equal installments on each of 7/20/2024, 7/20/2025, 7/20/2026 and 7/27/2027. Includes 1,079,038 RSUs consisting of the following: (i) 329,038 RSUs that vest 25% on each of 9/7/2023, 03/07/2024, 03/07/2025 and 03/07/2026; (ii) 250,000 RSUs that vest in two equal installments on each of 7/20/2024 and 7/20/2025.; and (iii) 500,000 RSUs that vest in four equal installments on each of 7/20/2024, 7/20/2025, 7/20/2026 and 7/27/2027. This stock option was granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award agreement, vests in two equal installments on each of 7/20/2024 and 7/20/2025. This stock option was granted under the Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award agreement, vests in four equal installments on each of 7/20/2024, 7/20/2025, 7/20/2026 and 7/27/2027. 25% of the stock options vest on each of 09/07/2023, 03/07/2024, 03/07/2025 and 03/07/2026. /s/ Kristina L. Johnston 2023-07-21