NT 10-K 1 fy23_nt_10-k.htm NT 10-K NT 10-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 12b-25

NOTIFICATION OF LATE FILING

Commission File Number 001-40016

(Check One):

☒ Form 10-K

☐ Form 20-F

☐ Form 11-K

☐ Form 10-Q

☐ Form 10-D

☐ Form N-CEN

☐ Form N-CSR

 

For Period Ended: June 30, 2023

☐

Transition Report on Form 10-K

☐

Transition Report on Form 20-F

☐

Transition Report on Form 11-K

☐

Transition Report on Form 10-Q

For the Transition Period Ended: ____________________

 

Read Attached Instruction (on back page) Before Preparing Form. Please Print or Type.

Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:

PART I

REGISTRANT INFORMATION

Vintage Wine Estates, Inc.

Full Name of Registrant

Former Name if Applicable

937 Tahoe Blvd Suite 210

Address of Principal Executive Offices (Street and Number)

Incline Village, Nevada 89451

City, State and Zip Code

 

PART II

RULES 12b-25(b) AND (c)

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25 (b), the following should be completed. (Check box if appropriate)

 

☒

(a)

The reasons described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;

(b)

The subject annual report, semi-annual report, transition report on Form 10-K, 20-F, Form 11-K, Form N-CEN, or Form N-CSR, or portion thereof will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof will be filed on or before the fifth calendar day following the prescribed due date; and

(c)

The accountant's statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.

 

 

 

 

PART III

NARRATIVE

State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q,10-D, N-CEN, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.

Vintage Wine Estates, Inc. (“VWE” or the “Company”) is unable to file its Annual Report on Form 10-K for the fiscal year ended June 30, 2023 (the “Form 10-K”) within the prescribed time period without unreasonable effort or expense due to delays it has experienced in completing its financial statements for the year ended June 30, 2023. The Company expects to file the Form 10-K within the fifteen calendar day extension period provided under Rule 12b-25.

PART IV

OTHER INFORMATION

(1)

Name and telephone number of person to contact in regard to this notification

 

 

Kristina Johnston

707

921-2823

(Name)

(Area Code)

(Telephone Number)

 

(2)

Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If the answer is no, identify report(s). ☒ Yes ☐ No

(3)

Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof? ☐ Yes ☒ No

 

If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.

 

Not applicable.

 

Forward-Looking Statements


This document contains forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934 (collectively, “forward-looking statements”). Forward-looking statements are all statements other than those of historical fact, and generally may be identified by the use of words such as “expects” or other similar expressions. Such statements may include, but are not limited to, statements regarding the Company’s anticipated timing regarding the filing of its Form 10-K for the fiscal year ended June 30, 2023. These statements are based on the Company’s current expectations as of the date of this document and involve a number of risks and uncertainties that may cause actual results to differ significantly, including, among others: expectations as to the timing of the filing of the Form 10-K for the fiscal year ended June 30, 2023, and those factors discussed in the Company’s most recent Annual Report on Form 10-K and in subsequent Quarterly Reports on Form 10-Q or other reports filed with the Securities and Exchange Commission. VWE undertakes no obligation to update or revise any forward-looking statements contained herein, whether as the result of new developments or otherwise, except as may be required by law. Accordingly, undue reliance should not be placed upon these forward-looking statements.

 

Vintage Wine Estates, Inc.

(Name of Registrant as Specified in Charter)

has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

 

Date: September 27, 2023

By:

/s/ Kristina Johnston

 

Kristina Johnston

 

Chief Financial Officer