Vintage Wine Estates (VWESQ) Form 3 Vintage Wine Estates / Steven Kay ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

MARITAL TRUST D UNDER THE LESLIE G. RUDD LIVING TRUST U/A/D 3/31/1999, AS AMENDED

(Last) (First) (Middle)

2416 E. 37TH STREET NORTH

(Street)

WICHITA KS 67219

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/07/2021

3. Issuer Name and Ticker or Trading Symbol
Vintage Wine Estates, Inc. [ VWE ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	X	10% Owner
	Officer (give title below)	X	Other (specify below)
Member of 10% owner group

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	9,799,980(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person^*

MARITAL TRUST D UNDER THE LESLIE G. RUDD LIVING TRUST U/A/D 3/31/1999, AS AMENDED

(Last) (First) (Middle)

2416 E. 37TH STREET NORTH

(Street)

WICHITA KS 67219

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

SLR NON-EXEMPT TRUST UAD 4/21/2018

(Last) (First) (Middle)

2416 E. 37TH STREET NORTH

(Street)

WICHITA KS 67219

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Swank Darrell Dean

(Last) (First) (Middle)

2416 E. 37TH STREET NORTH

(Street)

WICHITA KS 67219

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Kay Steven

(Last) (First) (Middle)

2416 E. 37TH STREET NORTH

(Street)

WICHITA KS 67219

(City) (State) (Zip)

Explanation of Responses:

1. Darrell Swank and Steven Kay are trustees of the Marital Trust D Under the Leslie G. Rudd Living Trust U/A/D 3/31/99, as amended, which owns 7,600,117 shares. They are also trustees of the SLR Non-Exempt Trust UAD 4/21/2018, which owns 2,199,863 shares. Messrs. Swank and Kay share voting and dispositive power over the shares owned by the Trusts and disclaim beneficial ownership of all such shares.

	/s/ Patrick D. Daugherty, as attorney-in-fact for Darrell D. Swank	06/17/2021
	/s/ Patrick D. Daugherty, as attorney-in-fact for Steven Kay	06/17/2021
	MARITAL TRUST D UNDER THE LESLIE G. RUDD LIVING TRUST U/A/D 3/31/1999, AS AMENDED, By /s/ Patrick D. Daugherty, attorney-in-fact for Darrell D. Swank, trustee	06/17/2021
	MARITAL TRUST D UNDER THE LESLIE G. RUDD LIVING TRUST U/A/D 3/31/1999, AS AMENDED, By /s/ Patrick D. Daugherty, attorney-in-fact for Steven Kay, trustee	06/17/2021
	SLR NON-EXEMPT TRUST UAD 4/21/2018 By /s/ Patrick D. Daugherty, attorney-in-fact for Darrell D. Swank, trustee	06/17/2021
	SLR NON-EXEMPT TRUST UAD 4/21/2018 By /s/ Patrick D. Daugherty, attorney-in-fact for Steven Kay, trustee	06/17/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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