SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
Mickelson Marcia

(Last) (First) (Middle)
5174 SONOMA MOUNTAIN ROAD

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/07/2021
3. Issuer Name and Ticker or Trading Symbol
Vintage Wine Estates, Inc. [ VWE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 517,899 I By Trusts(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Mickelson Marcia

(Last) (First) (Middle)
5174 SONOMA MOUNTAIN ROAD

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
1. Name and Address of Reporting Person*
Mickelson James Martin

(Last) (First) (Middle)
5174 SONOMA MOUNTAIN ROAD

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
1. Name and Address of Reporting Person*
A. & L. Kunde Trust #3

(Last) (First) (Middle)
5174 SONOMA MOUNTAIN RD.

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
1. Name and Address of Reporting Person*
A. Kunde & L. Kunde GST Exempt GRAT fbo Marcia Mickelson

(Last) (First) (Middle)
5174 SONOMA MOUNTAIN RD.

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
1. Name and Address of Reporting Person*
Jim & Marcia Mickelson Living Trust Dated 4-11-01

(Last) (First) (Middle)
5474 SONOMA MOUNTAIN RD.

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
1. Name and Address of Reporting Person*
Voting Trust FBO Marcia Mickelson U/T Kunde Living Trust

(Last) (First) (Middle)
5174 SONOMA MOUNTAIN RD.

(Street)
SANTA ROSA CA 95404

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
Explanation of Responses:
1. Marcia Mickelson is the trustee of the A & L Kunde Trust #3, the A Kunde and L Kunde GST Exempt GRAT fbo Marcia Mickelson and the Voting Trust FBO Marcia Mickelson U/T Kunde Living Trust, which collectively own 379,828 shares. Marcia and James Mickelson are trustees of the Jim & Marcia Mickelson Living Trust Dated 4-11-01, which owns 138,071 shares.
/s/ Patrick D. Daugherty, attorney-in-fact for Marcia Mickelson 06/17/2021
/s/ Patrick D. Daugherty, attorney-in-fact for James Martin Mickelson 06/17/2021
A & L KUNDE TRUST #3 By: /s/ Patrick D. Daugherty, attorney-in-fact for Marcia Mickelson, Trustee 06/17/2021
A KUNDE AND L KUNDE GST EXEMPT GRAT FBO MARCIA MICKELSON By: /s/ Patrick D. Daugherty, attorney-in-fact for Marcia Mickelson, Trustee 06/17/2021
VOTING TRUST FBO MARCIA MICKELSON U/T KUNDE LIVING TRUST By: /s/ Patrick D. Daugherty, attorney-in-fact for Marcia Mickelson, Trustee 06/17/2021
JIM & MARCIA MICKELSON LIVING TRUST DATED 4-11-01 By: /s/ Patrick D. Daugherty, attorney-in-fact for Marcia Mickelson, Trustee 06/17/2021
JIM & MARCIA MICKELSON LIVING TRUST DATED 4-11-01 By: /s/ Patrick D. Daugherty, attorney-in-fact for James Martin Mickelson, Trustee 06/17/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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