0001062993-23-019978.txt : 20231101 0001062993-23-019978.hdr.sgml : 20231101 20231101163050 ACCESSION NUMBER: 0001062993-23-019978 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231030 FILED AS OF DATE: 20231101 DATE AS OF CHANGE: 20231101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kaufman Seth CENTRAL INDEX KEY: 0001998405 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40016 FILM NUMBER: 231368709 MAIL ADDRESS: STREET 1: C/O VINTAGE WINE ESTATES, INC. STREET 2: 937 TAHOE BLVD, 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: 871005902 FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 937 TAHOE BOULEVARD STREET 2: SUITE 210 CITY: INCLINE VILLAGE STATE: NV ZIP: 89451 BUSINESS PHONE: 877-289-9463 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 2023-10-30 0001834045 Vintage Wine Estates, Inc. VWE 0001998405 Kaufman Seth C/O VINTAGE WINE ESTATES, INC. 937 TAHOE BOULEVARD, SUITE 210 INCLINE VILLAGE NV 89451 0 1 0 0 President and CEO 0 Common Stock 2023-10-30 4 A 0 1000000 0 A 1000000 D Restricted Stock Units 0 2023-10-30 4 A 0 666666 0 A Common Stock 666666 666666 D Restricted Stock Units 0 2023-10-30 4 A 0 666667 0 A Common Stock 666667 666667 D Restricted Stock Units 0 2023-10-30 4 A 0 666667 0 A Common Stock 666667 666667 D Stock Option (right to buy) 1.5 2023-10-30 4 A 0 1000000 0 A 2033-10-30 Common Stock 1000000 1000000 D Stock Option (right to buy) 3.0 2023-10-30 4 A 0 1000000 0 A 2033-10-30 Common Stock 1000000 1000000 D Stock Option (right to buy) 4.5 2023-10-30 4 A 0 1000000 0 A 2033-10-30 Common Stock 1000000 1000000 D Stock Option (right to buy) 6.0 2023-10-30 4 A 0 1000000 0 A 2033-10-30 Common Stock 1000000 1000000 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 four equal annual installments on each of 10/30/2024, 10/30/2025, 10/30/2026 and 10/30/2027. 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 annual installments on each of 10/30/2024, 10/30/2025, 10/30/2026 and 10/30/2027 and if the volume-weighted average price per share ("VWAP") of the issuer's common stock over the 30 consecutive trading day period preceding the applicable vesting date is at least $2.00 per share. To the extent an installment does not vest on a vesting date, such installment shall remain outstanding until the 6th anniversary of the grant date and shall vest on the date that the VWAP per share of the issuer's common stock over a 30 consecutive trading day period is at least $2.00 per share. 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 annual installments on each of 10/30/2024, 10/30/2025, 10/30/2026 and 10/30/2027 and if the VWAP of the issuer's common stock over the 30 consecutive trading day period preceding the applicable vesting date is at least $4.00 per share. To the extent an installment does not vest on a vesting date, such installment shall remain outstanding until the 6th anniversary of the grant date and shall vest on the date that the VWAP per share of the issuer's common stock over a 30 consecutive trading day period is at least $4.00 per share. 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 annual installments on each of 10/30/2024, 10/30/2025, 10/30/2026 and 10/30/2027 and if the VWAP of the issuer's common stock over the 30 consecutive trading day period preceding the applicable vesting date is at least $6.00 per share. To the extent an installment does not vest on a vesting date, such installment shall remain outstanding until the 6th anniversary of the grant date and shall vest on the date that the VWAP per share of the issuer's common stock over a 30 consecutive trading day period is at least $6.00 per share. This stock option was granted under the Plan in a transaction exempt under Rule 16b-3 and, except as other provided in the award agreement, vests in four equal annual installments on each of 10/30/2024, 10/30/2025, 10/30/2026 and 10/30/2027. /s/ Kristina L. Johnston, Attorney-in-Fact for Seth Kaufman 2023-11-01