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  4. [Form 4] SPLASH BEVERAGE GROUP, INC. Insider Trading Activity

Splash Beverage insider granted 1,875 RS and 15,000 options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Splash Beverage Group (SBEV) reported insider equity awards on a Form 4. On 04/19/2024, a director received 1,875 shares of restricted common stock at $0, held indirectly through SNS Universal Solutions LLC. The filing notes the shares are fully vested.

The director was also granted 15,000 stock options with an exercise price of $13.60 per share, expiring on 04/19/2027, also held indirectly via SNS Universal Solutions LLC. The filing states these figures give effect to a 1‑for‑40 reverse stock split effective March 27, 2025.

Positive

  • None.

Negative

  • None.
Insider Caple Frederick William
Role Director
Type Security Shares Price Value
Grant/Award Stock Options (Right to Buy) 15,000 $0.00 --
Grant/Award Common Stock 1,875 $0.00 --
Holdings After Transaction: Stock Options (Right to Buy) — 15,000 shares (Indirect, SNS Universal Solutions LLC); Common Stock — 1,875 shares (Indirect, SNS Universal Solutions LLC)
Footnotes (1)
  1. The grant of the Issuer's restricted common stock was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The shares of restricted common stock are fully vested. The stock options shall be exercisable for a 3-year period, and shall vest as follows: 75,000 immediately (125,000 already vested) and 50,000 per quarter for the next 8 quarters. Gives effect to a reverse stock split of 1-for-40 effective March 27, 2025. SNS Universal Solutions LLC is an entity which the Reporting Person controls.
Form 4 Insider Transactions: What Each Field Means →
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*
Caple Frederick William
(Last) (First) (Middle)
1314 E LAS OLAS BLVD
SUITE 221
(Street)
FORT LAUDERDALE, FL 33301
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SPLASH BEVERAGE GROUP, INC. [ SBEV ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
04/19/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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)
Code V Amount (A) or (D) Price
Common Stock(1) 04/19/2024 A 1,875(3) A $0 1,875(3) I SNS Universal Solutions LLC(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (Right to Buy)(2)(3) $13.6 04/19/2024 A 15,000 (1) 04/19/2027 Common Stock 15,000 $0 15,000 I SNS Universal Solutions LLC(4)
Explanation of Responses:
1. The grant of the Issuer's restricted common stock was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The shares of restricted common stock are fully vested.
2. The stock options shall be exercisable for a 3-year period, and shall vest as follows: 75,000 immediately (125,000 already vested) and 50,000 per quarter for the next 8 quarters.
3. Gives effect to a reverse stock split of 1-for-40 effective March 27, 2025.
4. SNS Universal Solutions LLC is an entity which the Reporting Person controls.
/s/ Frederick William Caple 10/20/2025
** 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 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

FAQ

What did SBEV disclose in this Form 4?

A director received 1,875 restricted common shares at $0 and 15,000 stock options at an exercise price of $13.60 per share.

What is the exercise price and expiration for the SBEV options?

The options have an exercise price of $13.60 and expire on 04/19/2027.

How are the securities held by the reporting person?

Both the shares and options are reported as indirectly held through SNS Universal Solutions LLC.

Do the reported amounts reflect SBEV’s reverse stock split?

Yes. The filing states the figures give effect to a 1‑for‑40 reverse stock split effective March 27, 2025.

What was the transaction code for these awards?

Transaction code A, indicating an award or grant under Rule 16 reporting.

Are the restricted shares vested?

Yes. The filing states the restricted common shares are fully vested.