WVVI director granted 4,500 restricted shares

ROSE SARAH ALICE reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

ROSE SARAH ALICE reported acquisition or exercise transactions in this Form 4 filing.

Willamette Valley Vineyards Inc. director Sarah Alice Rose received an equity compensation grant of 4,500 shares of restricted stock on May 12, 2026. These are not open-market purchases or sales but a stock award.

The award vests in three equal installments of 1,500 restricted shares on May 12, 2027, May 12, 2028, and May 12, 2029, as long as she continues serving on the board. All 4,500 restricted shares will vest immediately if a defined "Change in Control" occurs under the company’s 2025 Omnibus Equity Incentive Plan. Following this grant, she holds 4,500 restricted shares directly.

Insider Trade Summary

Grant/Award: 4,500 shares

Grant/Award 1 txn

Insider ROSE SARAH ALICE

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock	4,500	$0.00	$0.00

Holdings After Transaction: Restricted Stock — 4,500 contracts (Direct)

Footnotes (1)

1. F1. On May 12, 2026, the reporting person was granted 4,500 restricted shares, of which 1,500 restricted shares shall vest on May 12, 2027, an additional 1,500 restricted shares shall vest on May 12, 2028, and the remaining 1,500 restricted shares are scheduled to vest on May 12, 2029, in each case subject to the reporting person continuing to serve as a director on the board of directors of Willamette Valley Vineyards Inc. (the "Company"). All such restricted shares shall immediately vest upon the occurrence of a "Change in Control" as defined in the Company's 2025 Omnibus Equity Incentive Plan.

Key Figures

Restricted stock grant: 4,500 shares First vesting tranche: 1,500 shares Second vesting tranche: 1,500 shares +3 more

6 metrics

Restricted stock grant 4,500 shares Grant of restricted stock on May 12, 2026

First vesting tranche 1,500 shares Scheduled to vest on May 12, 2027

Second vesting tranche 1,500 shares Scheduled to vest on May 12, 2028

Third vesting tranche 1,500 shares Scheduled to vest on May 12, 2029

Shares held after grant 4,500 shares Total restricted shares following transaction

Grant price $0.00 per share Equity award, no cash purchase

Key Terms

Restricted Stock, Change in Control, 2025 Omnibus Equity Incentive Plan, vest

4 terms

Restricted Stock financial

"the reporting person was granted 4,500 restricted shares, of which 1,500 restricted shares shall vest"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Change in Control financial

"All such restricted shares shall immediately vest upon the occurrence of a "Change in Control""

A "change in control" occurs when the ownership or management of a company shifts significantly, such as through a merger, acquisition, or sale of a large part of its assets. This change can impact how the company is run and may influence its future direction. For investors, it matters because it can affect the company's stability, strategy, and value, often signaling potential changes in investment risk or opportunity.

2025 Omnibus Equity Incentive Plan financial

""Change in Control" as defined in the Company's 2025 Omnibus Equity Incentive Plan"

vest financial

"1,500 restricted shares shall vest on May 12, 2027, an additional 1,500 restricted shares shall vest"

A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did WVVI director Sarah Alice Rose report on this Form 4?

Sarah Alice Rose reported receiving 4,500 restricted shares of Willamette Valley Vineyards stock as an equity award. The grant is compensation for board service and not an open-market trade, so it reflects routine director compensation rather than a discretionary stock purchase or sale.

How do the 4,500 restricted shares for WVVI vest over time?

The 4,500 restricted shares vest in three equal annual installments of 1,500 shares. Vesting dates are May 12, 2027, May 12, 2028, and May 12, 2029, and each tranche requires that Sarah Alice Rose continue serving as a director on the company’s board.

What happens to Sarah Alice Rose’s WVVI restricted stock if there is a Change in Control?

All 4,500 restricted shares will immediately vest upon a qualifying Change in Control. The term "Change in Control" is defined in Willamette Valley Vineyards’ 2025 Omnibus Equity Incentive Plan and accelerates vesting, removing the remaining time-based service conditions on the award.

How many WVVI restricted shares does Sarah Alice Rose hold after this grant?

After this grant, Sarah Alice Rose holds 4,500 restricted shares directly. These shares are subject to the time-based vesting schedule and potential acceleration on a Change in Control, but the Form 4 confirms this is her reported post-transaction restricted stock position.

Is the WVVI Form 4 for Sarah Alice Rose a stock purchase or sale?

No, the Form 4 reflects an equity grant, not a market purchase or sale. The transaction code is "A" for a grant or award acquisition, with a price of $0.00 per share, indicating compensation rather than a cash-funded buy or a disposition.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/26/2026 - 04:48 PM Learn about SEC filing dates

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^*

ROSE SARAH ALICE

(Last) (First) (Middle)

8800 ENCHANTED WAY SE

(Street)

TURNER OREGON 97392

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
WILLAMETTE VALLEY VINEYARDS INC [ WVVI ]

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

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/12/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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

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

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
Restricted Stock	$0	05/12/2026		A		4,500		(1)	(1)	Common Stock	4,500	$0	4,500	D

Explanation of Responses:

1. On May 12, 2026, the reporting person was granted 4,500 restricted shares, of which 1,500 restricted shares shall vest on May 12, 2027, an additional 1,500 restricted shares shall vest on May 12, 2028, and the remaining 1,500 restricted shares are scheduled to vest on May 12, 2029, in each case subject to the reporting person continuing to serve as a director on the board of directors of Willamette Valley Vineyards Inc. (the "Company"). All such restricted shares shall immediately vest upon the occurrence of a "Change in Control" as defined in the Company's 2025 Omnibus Equity Incentive Plan.

	/s/ Sarah A. Rose	05/26/2026
	** 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.
* Form 4: SEC 1474 (03-26)