Justin B. Stiefel - 07 Feb 2025 Form 4 Insider Report for Heritage Distilling Holding Company, Inc. (CASK)

Role
CEO & Treasurer, Director
Signature
/s/ Justin B. Stiefel
Issuer symbol
CASK
Transactions as of
07 Feb 2025
Net transactions value
+$6,513
Form type
4
Filing time
07 Feb 2025, 17:36:40 UTC
Previous filing
26 Nov 2024
Next filing
27 May 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CASK Common Stock Purchase $3,499 +2,916 +7.2% $1.20 43,615 07 Feb 2025 Direct F1
transaction CASK Common Stock Purchase $3,014 +2,450 +3.8% $1.23 67,294 07 Feb 2025 By spouse F2

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 CASK Warrants to Puchase Shares of Common Stock 27,398 07 Feb 2025 Common Stock 27,398 $8.00 Direct F3
holding CASK Warrants to Puchase Shares of Common Stock 54,796 07 Feb 2025 Common Stock 54,796 $12.00 Direct F3
holding CASK Warrants to Puchase Shares of Common Stock 68,495 07 Feb 2025 Common Stock 68,495 $20.00 Direct F3
holding CASK Warrants to Puchase Shares of Common Stock 75,688 07 Feb 2025 Common Stock 75,688 $8.00 By Spouse F2, F3
holding CASK Warrants to Puchase Shares of Common Stock 151,376 07 Feb 2025 Common Stock 151,376 $12.00 By Spouse F2, F3
holding CASK Warrants to Puchase Shares of Common Stock 189,220 07 Feb 2025 Common Stock 189,220 $20.00 By Spouse F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 4,653 shares beneficially owned through American Estate and Trust, LC FBO Justin Stiefel IRA account
F2 These securities are held by Jennifer D.H. Stiefel, the spouse of the reporting person. For purposes of Section 16 of the Exchange Act, the reporting person disclaims beneficial ownership of any such securities, except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
F3 The initial exercise date of the warrant begins at any time on or after the date on which the volume-weighted average market trading price of the common stock of the Issuer equals or exceeds the exercise price over any period of ten (10) consecutive trading days.

Remarks:

The reporting person's Form 3 omitted 150,689 warrants to purchase common stock held directly by the reporting person and 416,284 warrants to purchase common stock held indirectly by the reporting person's spouse due to an administrative error. This Form 4 has been updated to correct this error.