Matthew J. Swann - Jun 27, 2025 Form 4 Insider Report for Heritage Distilling Holding Company, Inc. (CASK)

Role
Director
Signature
/s/ Justin B. Stiefel, attorney-in-fact for Matthew J. Swann
Stock symbol
CASK
Transactions as of
Jun 27, 2025
Transactions value $
$100,000
Form type
4
Date filed
8/19/2025, 04:15 PM
Previous filing
May 27, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Swann Matthew J Director C/O HERITAGE DISTILLING HOLDING COMPANY, 9668 BUJACICH ROAD, GIG HARBOR /s/ Justin B. Stiefel, attorney-in-fact for Matthew J. Swann 2025-08-19 0002051918

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CASK Common Stock Other $0 +13.3K +12.59% $0.00 119K Aug 15, 2025 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CASK Series B Convertible Preferred Stock Purchase $100K +10K $10.00* 10K Jun 27, 2025 Common Stock 264K $0.50 Direct F2
transaction CASK Series B Convertible Preferred Stock Other $0 -10K -100% $0.00 0 Aug 15, 2025 Common Stock 13.3K $0.50 Direct F1
transaction CASK Pre-Funded Warrant to Purchase Common Stock Other $0 +133K $0.00 133K Aug 15, 2025 Common Stock 133K $0.01 Direct F1, F3
transaction CASK Pre-Funded Warrant to Purchase Common Stock Other $0 +120K $0.00 120K Aug 15, 2025 Common Stock 120K $0.01 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On August 15, 2025, the reporting person exchanged 10,000 shares of Series B Convertible Preferred Stock for (i) 13,315 shares of common stock, par value $0.0001 per share (the "Common Stock"), of Heritage Distilling Holding Company, Inc. and (ii) pre-funded warrants to purchase an aggregate of 252,994 shares of Common Stock pursuant to an exchange agreement.
F2 The reporting person acquired shares of Series B Convertible Preferred Stock on June 27, 2025, which were inadvertently omitted from the reporting person's prior filings. This Form 4 corrects the prior omission by reporting such acquisition.
F3 The pre-funded warrant reported herein will become exercisable on the earlier of (i) three months after the date of issuance of such warrant or (ii) the first trading day after the date of issuance of such warrant on which the closing price of the Common Stock equals or exceeds $1.50 per share.
F4 The pre-funded warrant reported herein will become exercisable on the earlier of (i) six months after the date of issuance of such warrant or (ii) the first trading day after the date of issuance of such warrant on which the closing price of the Common Stock equals or exceeds $2.00 per share.