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