President & Secretary Stiefel Jennifer D H bought $6,513 worth of shares (5,366 units at $1.21) (SEC Form 4)
$CASK
Beverages (Production/Distribution)
Consumer Staples
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| 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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Heritage Distilling Holding Company, Inc. [ CASK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/07/2025 | ||||||||||||||||||||||||||
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4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 02/07/2025 | P | 2,450 | A | $1.23 | 67,294 | D(1) | |||
| Common Stock | 02/07/2025 | P | 2,916 | A | $1.2 | 43,615 | I | By Spouse(2) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Warrants to Puchase Shares of Common Stock | $8 | (3) | 11/25/2026 | Common Stock | 75,688 | 75,688 | D | ||||||||
| Warrants to Puchase Shares of Common Stock | $12 | (3) | 05/25/2027 | Common Stock | 151,376 | 151,376 | D | ||||||||
| Warrants to Puchase Shares of Common Stock | $20 | (3) | 11/25/2029 | Common Stock | 189,220 | 189,220 | D | ||||||||
| Warrants to Puchase Shares of Common Stock | $8 | (3) | 11/25/2026 | Common Stock | 27,398 | 27,398 | I | By Spouse(2) | |||||||
| Warrants to Puchase Shares of Common Stock | $12 | (3) | 05/25/2027 | Common Stock | 54,796 | 54,796 | I | By Spouse(2) | |||||||
| Warrants to Puchase Shares of Common Stock | $20 | (3) | 11/25/2029 | Common Stock | 68,495 | 68,495 | I | By Spouse(2) | |||||||
| Explanation of Responses: |
| 1. Includes 2,710 shares beneficially owned through American Estate and Trust, LC FBO Jennifer Stiefel IRA account |
| 2. These securities are held by Justin B. Stiefel, the spouse of the reporting person. For purposes of Section 16 of the Exchange Act, the reporting person disclaims beneficial ownership of any such securities, except to the extent of her pecuniary interest therein, if any, and this report shall not be deemed an admission that such reporting person is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| 3. The initial exercise date of the warrant begins at any time on or after the date on which the volume-weighted average market trading price of the common stock of the Issuer equals or exceeds the exercise price over any period of ten (10) consecutive trading days. |
| Remarks: |
| The reporting person's Form 3 omitted 416,284 warrants to purchase common stock held directly by the reporting person and 150,689 warrants to purchase common stock held indirectly by the reporting person's spouse due to an administrative error. This Form 4 has been updated to correct this error. |
| /s/ Justin B. Stiefel, attorney-in-fact for Jennifer D.H. Stiefel | 02/07/2025 | |
| ** 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 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. | ||