Matthew J. Swann - 27 Jun 2025 Form 4 Insider Report for Heritage Distilling Holding Company, Inc. (CASK)

Reporting relationship: Director
Issuer ticker: CASK
Reported as of: 27 Jun 2025
Net transaction value: +$100,000
SEC form: 4
Accepted by SEC: 19 Aug 2025, 16:15:21 UTC
Prior SEC filing: 27 May 2025
Next SEC filing: 18 Jun 2026
Source filing: View source filing
Reporting owner signature: /s/ Justin B. Stiefel, attorney-in-fact for Matthew J. Swann

Key filing fact

Matthew J. Swann filed Form 4 for Heritage Distilling Holding Company, Inc. (CASK) on 19 Aug 2025.

Key facts

This page summarizes Matthew J. Swann's Form 4 filing for Heritage Distilling Holding Company, Inc. (CASK).
5 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 19 Aug 2025, 16:15.

Change

Previous filing in this sequence was filed on 27 May 2025.
Current net transaction value: +$100,000.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0002051918 Primary reporting owner

Swann Matthew J

Relationship: Director
Address: C/O HERITAGE DISTILLING HOLDING COMPANY, 9668 BUJACICH ROAD, GIG HARBOR
Signature: /s/ Justin B. Stiefel, attorney-in-fact for Matthew J. Swann
Signature date: 19 Aug 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CASK transaction

Common Stock

Other

Transaction value: $0
Shares: +13,315
Change %: +13%
Price: $0.000000
Shares after: 119,065
Date: 15 Aug 2025
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CASK transaction Derivative

Series B Convertible Preferred Stock

Purchase

Transaction value: $100,000
Shares: +10,000
Change %
Price: $10.00^*
Shares after: 10,000
Date: 27 Jun 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 264,000
Exercise price: $0.5000
Footnotes: F2

CASK transaction Derivative

Series B Convertible Preferred Stock

Other

Transaction value: $0
Shares: -10,000
Change %: -100%
Price: $0.000000
Shares after: 0
Date: 15 Aug 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 13,315
Exercise price: $0.5000
Footnotes: F1

CASK transaction Derivative

Pre-Funded Warrant to Purchase Common Stock

Other

Transaction value: $0
Shares: +133,155
Change %
Price: $0.000000
Shares after: 133,155
Date: 15 Aug 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 133,155
Exercise price: $0.0100
Footnotes: F1, F3

CASK transaction Derivative

Pre-Funded Warrant to Purchase Common Stock

Other

Transaction value: $0
Shares: +119,839
Change %
Price: $0.000000
Shares after: 119,839
Date: 15 Aug 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 119,839
Exercise price: $0.0100
Footnotes: F1, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

On August 15, 2025, the reporting person exchanged 10,000 shares of Series B Convertible Preferred Stock for (i) 13,315 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Heritage Distilling Holding Company, Inc. and (ii) pre-funded warrants to purchase an aggregate of 252,994 shares of Common Stock pursuant to an exchange agreement.

Footnote F2

The reporting person acquired shares of Series B Convertible Preferred Stock on June 27, 2025, which were inadvertently omitted from the reporting person's prior filings. This Form 4 corrects the prior omission by reporting such acquisition.

Footnote F3

The pre-funded warrant reported herein will become exercisable on the earlier of (i) three months after the date of issuance of such warrant or (ii) the first trading day after the date of issuance of such warrant on which the closing price of the Common Stock equals or exceeds $1.50 per share.

Footnote F4

The pre-funded warrant reported herein will become exercisable on the earlier of (i) six months after the date of issuance of such warrant or (ii) the first trading day after the date of issuance of such warrant on which the closing price of the Common Stock equals or exceeds $2.00 per share.