Christopher H. Smith - 22 May 2025 Form 4 Insider Report for Heritage Distilling Holding Company, Inc. (CASK)

Role
Director
Signature
/s/ Justin B. Stiefel, attorney-in-fact for Christopher H. Smith
Issuer symbol
CASK
Transactions as of
22 May 2025
Net transactions value
+$54,080
Form type
4
Filing time
27 May 2025, 17:46:30 UTC
Previous filing
26 Nov 2024
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Smith Christopher H Director C/O HERITAGE DISTILLING HOLDING COMPANY, 9668 BUJACICH ROAD, GIG HARBOR /s/ Justin B. Stiefel, attorney-in-fact for Christopher H. Smith 27 May 2025 0001311438

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CASK Common Stock Options Exercise $53,000 +100,000 +4000% $0.5300 102,500 22 May 2025 Direct
transaction CASK Common Stock Options Exercise $1,080 +2,000 +2% $0.5400 104,500 24 May 2025 Direct

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
transaction CASK Restricted Stock Units Award $0 +100,000 $0.000000 100,000 22 May 2025 Common Stock 100,000 Direct F1, F2
transaction CASK Restricted Stock Units Options Exercise $0 -100,000 -100% $0.000000 0 22 May 2025 Common Stock 100,000 Direct F1, F2
transaction CASK Restricted Stock Units Options Exercise $0 -2,000 -100% $0.000000 0 24 May 2025 Common Stock 2,000 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock units ("RSU") represents a contingent right to receive one share of the issuer's common stock.
F2 The RSUs vested in full immediately upon grant on May 22, 2025.
F3 The RSUs were granted on June 5, 2024 subject to a vesting condition tied to the expiration of a lock-up agreement. The RSUs vested and settled on May 24, 2025 upon the lock-up's expiration.