Heritage Distilling (CASK) CFO granted 12,500 RSUs in amended filing

(Neutral)

Form Type

4/A

Rhea-AI Filing Summary

Heritage Distilling Holding Company, Inc. executive vice president of finance and CFO Michael Carrosino reported an award of 12,500 restricted stock units granted on October 1, 2025. Each RSU represents one share of common stock and is held directly.

Of this grant, 2,500 RSUs had already satisfied the service-based vesting requirement as of September 1, 2025, and the remaining 10,000 RSUs vest in equal quarterly installments over twelve months beginning that date. Settlement of the RSUs is deferred until at least 45 days after the effectiveness of the company’s Form S-8 registration statement. This amended report corrects a clerical error in the previously reported RSU grant size.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider CARROSINO MICHAEL

Role EVP of Finance & CFO

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units	12,500	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 12,500 shares (Direct)

Footnotes (2)

F1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock.
F2. Of the restricted stock units granted on October 1, 2025, 2,500 RSUs satisfied the service-based vesting requirement as of the commencement of the vesting schedule on September 1, 2025. The remaining 10,000 RSUs vest in equal quarterly installments over a twelve (12) month period beginning September 1, 2025. Settlement of such RSUs was deferred until no earlier than forty-five (45) days following the effectiveness of the Company's Form S-8 registration statement.

FAQ

What insider transaction did Heritage Distilling (CASK) report for its CFO?

Heritage Distilling reported that CFO Michael Carrosino received 12,500 restricted stock units granted on October 1, 2025. Each RSU represents one share of common stock, and all 12,500 RSUs are shown as directly beneficially owned following the reported transaction.

How do the 12,500 RSUs granted to the Heritage Distilling (CASK) CFO vest?

Of the 12,500 RSUs, 2,500 had already met the service-based vesting requirement as of September 1, 2025. The remaining 10,000 RSUs vest in equal quarterly installments over a twelve-month period beginning September 1, 2025, subject to the original award terms.

When will the Heritage Distilling (CASK) CFO’s RSUs be settled into common shares?

Settlement of the RSUs into common stock is deferred until no earlier than 45 days after the effectiveness of Heritage Distilling’s Form S-8 registration statement. This means share delivery is tied to that registration’s effective date plus the stated waiting period.

What is the purpose of this amended Form 4/A for Heritage Distilling (CASK)?

The amended Form 4/A corrects a clerical error in the originally reported number of restricted stock units granted on October 1, 2025. The company states that no other changes are being made beyond fixing that misreported RSU amount in the prior filing.

What position does the reporting person hold at Heritage Distilling (CASK)?

The reporting person, Michael Carrosino, is identified as an officer of Heritage Distilling Holding Company, serving as executive vice president of finance and chief financial officer. This role explains why his equity-based compensation transactions must be reported on Form 4.

What type of security was granted to the Heritage Distilling (CASK) CFO?

The grant consists of restricted stock units, or RSUs, each representing a contingent right to receive one share of Heritage Distilling common stock. The filing shows 12,500 RSUs were granted at a price of $0, reflecting typical equity compensation rather than a cash purchase.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 02/03/2026 - 09:38 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

CARROSINO MICHAEL

(Last)

(First)

(Middle)

C/O HERITAGE DISTILLING HOLDING COMPANY

9668 BUJACICH ROAD

(Street)

GIG HARBOR

98332

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Heritage Distilling Holding Company, Inc. [ IPST ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	EVP of Finance & CFO

3. Date of Earliest Transaction (Month/Day/Year)
10/01/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)
01/05/2026

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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽¹⁾	10/01/2025		A		12,500		⁽²⁾	⁽²⁾	Common Stock	12,500	$0	12,500	D

Explanation of Responses:

1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock.

2. Of the restricted stock units granted on October 1, 2025, 2,500 RSUs satisfied the service-based vesting requirement as of the commencement of the vesting schedule on September 1, 2025. The remaining 10,000 RSUs vest in equal quarterly installments over a twelve (12) month period beginning September 1, 2025. Settlement of such RSUs was deferred until no earlier than forty-five (45) days following the effectiveness of the Company's Form S-8 registration statement.

Remarks:

This Form 4/A amends the Form 4 filed on January 5, 2026 solely to correct a clerical error in the number of restricted stock units reported as granted on October 1, 2025. No other changes are being made.

	/s/ Justin B. Stiefel, attorney-in-fact for Michael Carrosino	02/03/2026
	** 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 4 (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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR