true00018340450001834045us-gaap:CommonStockMember2023-07-172023-07-170001834045us-gaap:WarrantMember2023-07-172023-07-1700018340452023-07-172023-07-17

 

 

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

 

FORM 8-K/A

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): July 17, 2023

 

 

Vintage Wine Estates, Inc.

(Exact name of Registrant as Specified in Its Charter)

 

 

Nevada

001-40016

87-1005902

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(IRS Employer
Identification No.)

 

 

 

 

 

937 Tahoe Boulevard

Suite 210

 

Incline Village, Nevada

 

89451

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s Telephone Number, Including Area Code: (877) 289-9463

 

 

(Former Name or Former Address, if Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:


Title of each class

 

Trading
Symbol(s)

 


Name of each exchange on which registered

Common stock, no par value per share

 

VWE

 

The Nasdaq Stock Market LLC

Warrants to purchase common stock

 

VWEWW

 

The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

 

Explanatory Note

This Amendment No. 2 to Form 8-K ("Amendment No. 2") amends and supplements the Form 8-K filed by Vintage Wine Estates, Inc. (the "Company") on July 20, 2023 (the "Initial Form 8-K"), as amended by Amendment No. 1 to the Initial Form 8-K filed on September 21, 2023 ("Amendment No. 1"). As previously reported in the Initial Form 8-K, on July 20, 2023, the Company announced that the Board of Directors (the "Board") appointed Seth Kaufman as the Company's President and Chief Executive Officer ("CEO"), effective on or prior to October 30, 2023. This Amendment No. 2 is being made to report that Mr. Kaufman's appointment to CEO is effective today, October 30, 2023. The information previously reported in or filed with the Initial Form 8-K, as amended by Amendment No. 1, is hereby incorporated by reference into this Amendment No. 2.

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

As previously reported in the Initial Form 8-K, on July 20, 2023, the Company announced that the Board appointed Seth Kaufman as the Company's President and CEO, effective on or prior to October 30, 2023. This Amendment No. 2 is being made to report that Mr. Kaufman's appointment to CEO is effective today, October 30, 2023.

 

In connection with Mr. Kaufman's appointment, Jon Moramarco will no longer serve as the Interim Chief Executive Officer of the Company. Mr. Moramarco will remain on the Company’s Board.

 

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

Vintage Wine Estates, Inc.

 

 

 

(Registrant)

Date:

October 30, 2023

By:

/s/ Kristina Johnston

 

 

 

Kristina Johnston
Chief Financial Officer

 

 

v3.23.3
Document And Entity Information
Jul. 17, 2023
Document Information [Line Items]  
Document Type 8-K/A
Amendment Flag true
Amendment Description This Amendment No. 2 to Form 8-K ("Amendment No. 2") amends and supplements the Form 8-K filed by Vintage Wine Estates, Inc. (the "Company") on July 20, 2023 (the "Initial Form 8-K"), as amended by Amendment No. 1 to the Initial Form 8-K filed on September 21, 2023 ("Amendment No. 1"). As previously reported in the Initial Form 8-K, on July 20, 2023, the Company announced that the Board of Directors (the "Board") appointed Seth Kaufman as the Company's President and Chief Executive Officer ("CEO"), effective on or prior to October 30, 2023. This Amendment No. 2 is being made to report that Mr. Kaufman's appointment to CEO is effective today, October 30, 2023. The information previously reported in or filed with the Initial Form 8-K, as amended by Amendment No. 1, is hereby incorporated by reference into this Amendment No. 2.
Document Period End Date Jul. 17, 2023
Entity Registrant Name Vintage Wine Estates, Inc.
Entity Central Index Key 0001834045
Entity Emerging Growth Company true
Securities Act File Number 001-40016
Entity Incorporation, State or Country Code NV
Entity Tax Identification Number 87-1005902
Entity Address, Address Line One 937 Tahoe Boulevard
Entity Address, Address Line Two Suite 210
Entity Address, City or Town Incline Village
Entity Address, State or Province NV
Entity Address, Postal Zip Code 89451
City Area Code 877
Local Phone Number 289-9463
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Ex Transition Period false
Common Stock [Member]  
Document Information [Line Items]  
Title of 12(b) Security Common stock, no par value per share
Trading Symbol VWE
Security Exchange Name NASDAQ
Warrant [Member]  
Document Information [Line Items]  
Title of 12(b) Security Warrants to purchase common stock
Trading Symbol VWEWW
Security Exchange Name NASDAQ
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