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