Form 8-K - Current report
20 Juillet 2023 - 10:00PM
Edgar (US Regulatory)
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2023-07-14
2023-07-14
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): July
14, 2023
FRESH VINE WINE, INC.
(Exact
name of registrant as specified in its charter)
Nevada |
|
001-41147 |
|
87-3905007 |
(State
or Other Jurisdiction of
Incorporation) |
|
(Commission
File Number) |
|
(I.R.S.
Employer
Identification
No.) |
11500 Wayzata Blvd. #1147
Minnetonka,
MN 55305
(Address
of Principal Executive Offices) (Zip Code)
(855) 766-9463
(Registrant’s
telephone number, including area code)
Not
Applicable
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
☐ |
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
☐ |
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ |
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class |
|
Trading
Symbol(s) |
|
Name
of each exchange on
which registered |
Common stock, par value $0.001 per share |
|
VINE |
|
NYSE American |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☒
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item 5.02 Departure
of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers; Compensatory Arrangements of Certain Officers.
Termination
of Employment - Chief Executive Officer and Chief Financial Officer and Secretary
On
July 14, 2023, Roger Cockroft’s employment with and service as Chief Executive Officer of
Fresh Vine Wine, Inc. (the “Company”) ended.
On
July 14, 2023, Hitesh Dheri’s employment with and service as Chief Financial Officer and Secretary the Company ended.
Resignation
of Directors
On
July 17, 2023, Roger Cockroft and Michelle Hawkins Whetstone each resigned as a member of the Company’s Board of Directors, effective
immediately. The resignations of Mr. Cockroft and Ms. Whetstone were not due to a disagreement with the Company on any matter relating
to the Company’s operations, policies or practices.
Appointment
of Interim Chief Executive Officer and Chief Financial
On
July 19, 2023, the Company’s Board of Directors appointed Michael Pruitt, the Non-Executive Chair of the Company’s Board
of Directors, to serve as Interim Chief Executive Officer, effective immediately. In this capacity, Mr. Pruitt will serve as the Company’s
principal executive officer. Mr. Pruitt’s professional biography is set forth in the Company’s Annual Report on Form 10-K
for the year ended December 31, 2023, as filed with the Securities and Exchange Commission on March 31, 2023.
On
July 19, 2023, the Company’s Board of Directors appointed Keith J. Johnson to serve as Interim Chief Financial Officer of the
Company. In this capacity, Mr. Johnson will serve as the Company’s principal financial and accounting officer. Under the terms
of his engagement, the Company is paying an hourly wage of $200 to Mr. Johnson. Mr. Johnson previously served as the Company’s
Interim Chief Executive Officer from May 3, 2023 until May 25, 2023. Mr. Johnson’s professional biography is set forth in the Company’s
Current Report on Form 8-K filed with the Securities and Exchange Commission on May 31, 2023.
Item 9.01
Financial Statements and Exhibits.
Exhibit No. |
|
Description |
104 |
|
Cover Page Interactive Data File (embedded within the Inline XBRL document) |
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
|
FRESH
VINE WINE, INC. |
|
|
|
Date:
July 20, 2023 |
By: |
/s/
Michael Pruitt |
|
|
Michael
Pruitt |
|
|
Interim
Chief Executive Officer |
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Fresh Vine Wine (AMEX:VINE)
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