| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | VWE | Common Stock | Tax liability | -$89.6K | -26.2K | -6.09% | $3.42 | 404K | Dec 7, 2022 | Direct | F1, F2, F3 |
| transaction | VWE | Common Stock | Disposed to Issuer | $0 | -323K | -79.86% | $0.00 | 81.4K | Feb 7, 2023 | Direct | F4 |
| holding | VWE | Common Stock | 210K | Dec 7, 2022 | By IRA | ||||||
| holding | VWE | Common Stock | 6.52M | Dec 7, 2022 | By Patrick A. Roney and Laura G. Roney Trust | F5 |
| Id | Content |
|---|---|
| F1 | Shares withheld to cover tax withholding obligations on the vesting of 107,570 restricted stock units (RSUs). |
| F2 | Due to an administrative error, the Reporting Person's prior Form 4 reporting the 02/02/2022 grant of 430,280 RSUs incorrectly stated that 25% of the RSUs vest on 08/02/2023, and 25% vest on each of 02/02/2024, 02/02/2025 and 02/02/2026. The 430,280 RSUs granted on 02/02/2022 vested 25% on 12/07/2022, and 25% vest on each of 06/07/2023, 06/07/2024 and 06/07/2025. |
| F3 | Includes 322,710 unvested RSUs. |
| F4 | Effective February 7, 2023, the Reporting Person ceased being the Chief Executive Officer of Vintage Wine Estates, Inc. (the "Issuer") and was appointed as Executive Chairman of the Board of Directors of the Issuer. In connection with the Reporting Person's appointment as Executive Chairman, all outstanding stock options and unvested RSUs previously granted to the Reporting Person under the Issuer's 2021 Omnibus Incentive Plan ceased to vest and any unvested awards were forfeited. |
| F5 | Mr. Roney and his wife, Laura G. Roney, are co-trustees of the Trust. Mr. Roney disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |