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*
(Street)
| 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)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) | |||||||
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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*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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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. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |