SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES


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*
Swann Matthew J
(Last) (First) (Middle)
C/O HERITAGE DISTILLING HOLDING COMPANY
9668 BUJACICH ROAD
(Street)
GIG HARBOR WA 98332
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/06/2025 		3. Issuer Name and Ticker or Trading Symbol
Heritage Distilling Holding Company, Inc. [ CASK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
01/14/2025
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants to Puchase Shares of Common Stock (1) 11/25/2026 Common Stock 5,916 8 D
Warrants to Puchase Shares of Common Stock (1) 05/25/2027 Common Stock 11,832 12 D
Warrants to Puchase Shares of Common Stock (1) 11/25/2029 Common Stock 14,790 20 D
Stock Options 06/06/2023(2) 06/05/2026 Common Stock 570 157.89 D
Explanation of Responses:
1. 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.
2. The option was granted on June 6, 2019 and vested over a period of four years. The option is fully vested and is subject to the expiration of the lock-up agreement executed by the reporting person, which is 180 days following the date of the underwriting agreement between Issuer and Newbridge Securities Corporation, acting as representative to several underwriters.
Remarks:
This Amended Form 3 is being filed to correct errors from the initial filing for the reporting person's ownership of securities of the Issuer. No new transactions are being reported herein.
/s/ Justin B. Stiefel, attorney-in-fact for Matthew J. Swann 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 5 (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.

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