# EDGAR Filing Document

**Accession Number:** 0001863935
**File Stem:** 0001062993-23-002587
**Filing Date:** 2023-2
**Character Count:** 7081
**Document Hash:** 231bd6cf9b38f82352d4a22530103d62
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-002587.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001062993-23-002587

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221207

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Roney Patrick A
- **CENTRAL INDEX KEY:** 0001863935

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40016
- **FILM NUMBER:** 23608105

**MAIL ADDRESS:**
- **STREET 1:** 937 TAHOE BOULEVARD
- **CITY:** INCLINE VILLAGE
- **STATE:** NV
- **ZIP:** 89451
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Vintage Wine Estates, Inc.
- **CENTRAL INDEX KEY:** 0001834045
- **STANDARD INDUSTRIAL CLASSIFICATION:** BEVERAGES [2080]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 0630

**BUSINESS ADDRESS:**
- **STREET 1:** 937 TAHOE BOULEVARD
- **STREET 2:** SUITE 210
- **CITY:** INCLINE VILLAGE
- **STATE:** NV
- **ZIP:** 89451
- **BUSINESS PHONE:** 707-346-3640

**MAIL ADDRESS:**
- **STREET 1:** 937 TAHOE BOULEVARD
- **STREET 2:** SUITE 210
- **CITY:** INCLINE VILLAGE
- **STATE:** NV
- **ZIP:** 89451

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Bespoke Capital Acquisition Corp
- **DATE OF NAME CHANGE:** 20201125

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Roney Patrick A<br><sub>(Last) (First) (Middle)</sub><br>937 TAHOE BOULEVARD, SUITE 210<br><sub>(Street)</sub><br>INCLINE VILLAGE, NV 89451<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-07 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Executive Chairman_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Vintage Wine Estates, Inc. [ VWE ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2022-12-07 |  | F |  | 26194<sup>(1)</sup> | D | $3.42 | 404086<sup>(2)(3)</sup> | D |  |
| Common Stock | 2023-02-07 |  | D |  | 322710<sup>(4)</sup> | D | $0 | 81376 | D |  |
| Common Stock |  |  |  |  |  |  |  | 210400 | I | By IRA |
| Common Stock |  |  |  |  |  |  |  | 6516072 | I | By Patrick A. Roney and Laura G. Roney Trust<sup>(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Shares withheld to cover tax withholding obligations on the vesting of 107,570 restricted stock units (RSUs).

(2) Due to an administrative error, the Reporting Person's prior Form 4 reporting the 02/02/2022 grant of 430,280 RSUs incorrectly stated that 25% of the RSUs vest on 08/02/2023, and 25% vest on each of 02/02/2024, 02/02/2025 and 02/02/2026. The 430,280 RSUs granted on 02/02/2022 vested 25% on 12/07/2022, and 25% vest on each of 06/07/2023, 06/07/2024 and 06/07/2025.

(3) Includes 322,710 unvested RSUs.

(4) Effective February 7, 2023, the Reporting Person ceased being the Chief Executive Officer of Vintage Wine Estates, Inc. (the "Issuer") and was appointed as Executive Chairman of the Board of Directors of the Issuer.  In connection with the Reporting Person's appointment as Executive Chairman, all outstanding stock options and unvested RSUs previously granted to the Reporting Person under the Issuer's 2021 Omnibus Incentive Plan ceased to vest and any unvested awards were forfeited.

(5) Mr. Roney and his wife, Laura G. Roney, are co-trustees of the Trust. Mr. Roney disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

**Signature:** /s/ Patrick A. Roney  
**Date:** 2023-02-09

### Remarks:

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 4 (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.**