Initial Statement of Beneficial Ownership (3)
19 September 2020 - 8:28AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Teton Holdings Corp CCS |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/15/2020
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3. Issuer Name and Ticker or Trading Symbol
Crimson Wine Group, Ltd [CWGL]
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(Last)
(First)
(Middle)
PO BOX 4902 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
JACKSON, WY 83001
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
Common Stock | 0 (1) | I | By CLAT |
Common Stock | 2410828 (2) | I | By CLAT |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
Explanation of Responses: |
(1) | Represents securities beneficially owned by Teton Holdings Corporation CCS ("Teton"). On April 15, 2020, Teton was appointed as the trustee for The Ian M. Cumming Charitable Lead Annuity Trust (the "CLAT"), which owns 2,410,828 shares of common stock of Crimson Wine Group, Ltd. (the "Shares"). Teton does not have a pecuniary interest in the Shares. |
(2) | Represents securities beneficially owned by David Cumming. David Cumming owns a 50% interest in Teton and serves as a member of the board of directors and as a member of the investment committee of Teton. David Cumming also holds a remainder interest in the CLAT. David Cumming disclaims beneficial ownership of the Shares except to the extent of his pecuniary interest therein. |
Remarks: Exhibit List: Exhibit 24.1 - Power of Attorney (Teton Holdings Corporation CCS) Exhibit 24.2 - Power of Attorney (David Cumming) |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Teton Holdings Corp CCS PO BOX 4902 JACKSON, WY 83001 |
| X |
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Cumming David PO BOX 4902 JACKSON, WY 83001 |
| X |
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Signatures
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/s/ Catherine Handley, as attorney-in-fact for Teton Holdings Corporation CCS | | 9/18/2020 |
**Signature of Reporting Person | Date |
/s/ Catherine Handley, as attorney-in-fact for David Cumming | | 9/18/2020 |
**Signature of Reporting Person | Date |
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