Mark W.B. Harms - Dec 21, 2023 Form 4 Insider Report for Vintage Wine Estates, Inc. (VWE)

Role
Director, 10%+ Owner
Signature
/s/ Kristina L. Johnston, Attorney-in-Fact for Mark W.B. Harms
Stock symbol
VWE
Transactions as of
Dec 21, 2023
Transactions value $
$0
Form type
4
Date filed
12/22/2023, 04:29 PM
Previous filing
Dec 1, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VWE Common Stock Award $0 +78.3K +11.2% $0.00 778K Dec 21, 2023 Direct F1, F2, F3
holding VWE Common Stock 1.67M Dec 21, 2023 By Bespoke Sponsor Capital LP F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding VWE Warrants to purchase common stock 187K Dec 21, 2023 Common Stock 187K $11.50 Direct F5
holding VWE Warrants to purchase common stock 2.22M Dec 21, 2023 Common Stock 2.22M $11.50 By Bespoke Sponsor Capital LP F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These restricted stock units, which convert into common stock on a one-for-one basis, were granted under the Vintage Wine Estates, Inc. 2021 Omnibus Incentive Plan in a transaction exempt under Rule 16b-3 and, except as otherwise provided in the award notice, vest on 12/21/2024.
F2 Includes 78,316 restricted stock units that vest on 12/21/2024.
F3 Includes 671,695 shares of common stock that were previously reported as being held directly by the Bespoke Sponsor Capital LP.
F4 The securities reported are held by Bespoke Sponsor Capital LP (the "Sponsor"). Bespoke Capital Partners, LLC ("BCP") is the general partner of the Sponsor and the Reporting Person is the managing member of BCP. The Reporting Person shares voting and investment power with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of such securities. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
F5 These warrants to purchase common stock were previously reported as being held directly by the Bespoke Sponsor Capital LP.