Statement of Changes in Beneficial Ownership (4)
01 Diciembre 2021 - 3:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
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Weng Xiangwei |
2. Issuer Name and Ticker or Trading Symbol
Winc, Inc.
[
WBEV
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1751 BERKELEY ST., STUDIO 3 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/29/2021 |
(Street)
SANTA MONICA, CA 90404
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/29/2021 | | A | | 12820 (1) | A | $0 | 12820 | D | |
Common Stock | | | | | | | | 429390 | I | See footnote (2) |
Common Stock | | | | | | | | 429390 | I | See footnote (3) |
Common Stock | | | | | | | | 149379 | I | See footnote (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Explanation of Responses: |
(1) | Represents an award of Restricted Stock Units (RSUs), which vests in full on the earlier to occur of (i) the one-year anniversary of the grant date and (ii) the date of the Issuer's next annual meeting of stockholders following the grant date, subject to continued service through the applicable vesting date. The RSUs will be settled in shares of the Issuer's common stock upon vesting. |
(2) | Represents securities held of record by Dreamer Pathway Limited (BVI). The Reporting Person may be deemed to have voting and investment power with respect to the shares beneficially owned by Dreamer Pathway Limited (BVI). |
(3) | Represents securities held of record by Shiningwine Limited (BVI). The Reporting Person may be deemed to have voting and dispositive power with respect to the shares beneficially owned by Shiningwine Limited (BVI). |
(4) | Represents securities held of record by Dream Catcher Investments. The Reporting Person may be deemed to have voting and dispositive power with respect to the shares beneficially owned by Dream Catcher Investments. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Weng Xiangwei 1751 BERKELEY ST., STUDIO 3 SANTA MONICA, CA 90404 | X |
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Signatures
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/s/ Matthew Thelen, as attorney-in-fact for Xiangwei Weng | | 12/1/2021 |
**Signature of Reporting Person | Date |
Winc (AMEX:WBEV)
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