0001062993-23-017903.txt : 20230911 0001062993-23-017903.hdr.sgml : 20230911 20230911163023 ACCESSION NUMBER: 0001062993-23-017903 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230907 FILED AS OF DATE: 20230911 DATE AS OF CHANGE: 20230911 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: 231248119 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 2023-09-07 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 2023-09-07 4 F 0 29655 0.78 D 1049383 D Stock Option (right to buy) 1.5 2033-07-20 Common Stock 62500 62500 D Stock Option (right to buy) 1.5 2033-07-20 Common Stock 187500 187500 D Stock Option (right to buy) 10.5 2032-03-07 Common Stock 658076 658076 D Shares withheld to cover tax withholding obligations on the vesting of restricted stock units (RSUs). Includes 996,779 RSUs consisting of the following: (i) 246,779 RSUs that vest in substantially equal installments on each of 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. These stock options vest in two equal installments on each of 7/20/2024 and 7/20/2025. 25% of the stock options vest 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 2023-09-11