| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | CASK | Common Stock | 13,699 | 12 Nov 2024 | Direct | F1 | |||||
| holding | CASK | Common Stock | 37,844 | 12 Nov 2024 | By spouse | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | CASK | Restricted Stock Units | 12 Nov 2024 | Common Stock | 42,000 | Direct | F3, F4 | |||||||
| holding | CASK | Restricted Stock Units | 12 Nov 2024 | Common Stock | 42,000 | By spouse | F2, F3, F4 | |||||||
| holding | CASK | Warrants to Purchase Shares of Common Stock | 12 Nov 2024 | Common Stock | 27,000 | Direct | F5 | |||||||
| holding | CASK | Warrants to Purchase Shares of Common Stock | 12 Nov 2024 | Common Stock | 27,000 | By spouse | F2, F5 |
| Id | Content |
|---|---|
| F1 | Includes 1,737 shares beneficially owned through American Estate and Trust, LC FBO Justin Stiefel IRA account |
| F2 | These securities are held by Jennifer D.H. 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 his 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. |
| F3 | The restricted stock units ("RSUs") were granted on June 5, 2024. The holder of the RSUs has met the time and service-based requirement and the RSUs shall become fully vested upon the expiration of the lock-up agreement, executed by such holder, which is 180 days following the date of the underwriting agreement between Issuer and Newbridge Securities Corporation, acting as representative to several underwriters. |
| F4 | Each RSU represents a contingent right to receive one share of Issuer's common stock. |
| F5 | The warrants reported herein (the "Warrants") were granted to the holder by the Issuer on March 31, 2012, and are exercisable until March 31, 2027. Such Warrants are subject to the contribution agreement by and among the Issuer and the Warrant holders, pursuant to which, upon the Issuer's completion of an initial public offering on a national stock exchange (an "IPO"), the Issuer will grant shares of common stock to the Warrant holders in an amount equal to the number of shares of common stock that such Warrant holders would have received if they had exercised the Warrants prior to the consummation of the IPO. |
Exhibit 24.1