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Signature
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By: /s/ Sean Sullivan, as attorney-in-fact
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Stock symbol
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NAPA
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Transactions as of
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Oct 19, 2021
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Transactions value $
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$0
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Form type
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4
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Date filed
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10/21/2021, 05:00 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
NAPA |
Common Stock |
Other |
$0 |
+12.2K |
|
$0.00 |
12.2K |
Oct 19, 2021 |
Direct |
F1 |
transaction |
NAPA |
Common Stock |
Gift |
$0 |
-12.2K |
-100% |
$0.00* |
0 |
Oct 19, 2021 |
Direct |
|
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Explanation of Responses:
Remarks:
Mallard Holdco LLC holds 74,777,768 shares of common stock of The Duckhorn Portfolio, Inc. The Reporting Person is a Managing Member of Mallard Holdco LLC. Voting and investment decisions with respect to the securities held by Mallard Holdco LLC are made by a committee of three or more individuals (including the Reporting Person), none of whom individually has the power to direct such decisions. The Reporting Person disclaims beneficial ownership of the shares held by Mallard Holdco LLC, except to the extent of any actual pecuniary interest. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is the beneficial owner of any equity securities of The Duckhorn Portfolio, Inc. for purposes of Section 16 of the Exchange Act or otherwise. Exhibit List: Sean Sullivan is signing on behalf of Mr. Esserman pursuant to an authorization and designation letter dated March 18, 2021, which was previously filed with the Securities and Exchange Commission.