The Duckhorn Portfolio Inc (NAPA)

Sector:
CONSUMER STAPLES
Industry:
BEVERAGES
SIC:
BEVERAGES
CEO:
Alex Ryan
Employees:
1201 DOWDELL LANE, SAINT HELENA, CA 94574
707-963-7108

The Duckhorn Portfolio is the premier scaled producer of luxury wines in North America. We have delighted millions of consumers with authentic, high-quality, approachable wines for over four decades. Founded by our namesake Dan and Margaret Duckhorn in 1976, we began by pioneering Merlot wines in Napa Valley and now champion a curated and comprehensive portfolio of highly acclaimed luxury wines across multiple winery brands, varietals, appellations and price points. The Duckhorn Portfolio, Inc. was incorporated in Delaware in September 2016. Our principal executive offices are located at 1201 Dowdell Lane, St. Helena, California.

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Funds Holding NAPA (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding NAPA BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

12.6 Million total shares from 10 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

SULLIVAN SEAN B.A. SEE REMARKS

  • Officer
208,263 2021-11-15 6

MALLARD HOLDCO, LLC

  • 10% Owner
74,150,301 2021-11-12 4

ESSERMAN CHARLES

  • Director
0 2021-10-19 2

BEAUDOIN LORI SEE REMARKS

  • Officer
849,595 2021-10-19 6

REBER CAROL SEE REMARKS

  • Officer
531,592 2021-10-19 5

PRZYBYLINSKI PETE SEE REMARKS

  • Officer
509,897 2021-10-19 5

RASMUSON ZACH SEE REMARKS

  • Officer
567,758 2021-10-19 8

RYAN ALEX SEE REMARKS

  • Officer
  • Director
1,666,123 2021-10-19 8

O'HARA JAMES L.

  • Director
0 2021-10-19 2

GLOECKLER MICHELLE J.

  • Director
0 2021-05-13 2

COX MELANIE

  • Director
7,000 2021-03-18 1

COSTELLO DANIEL

  • Director
0 2021-03-18 1

MAHLAN DEIRDRE

  • Director
7,000 2021-03-18 1

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

SULLIVAN SEAN B.A. - Officer SEE REMARKS

2021-11-16 16:58:38 -0500 2021-11-15 S 5,000 $19.89 d 208,263 direct yes -2.5285 -3.173 0.0 1 -5.8007 4

MALLARD HOLDCO, LLC - > 10% Owner

2021-11-12 18:00:18 -0500 2021-11-12 S 626,467 $19.63 d 74,150,301 direct 2.581 -3.8462 2.581 2 -3.8462 6

RYAN ALEX - Director - Officer SEE REMARKS by trust

2021-10-19 16:30:12 -0400 2021-10-19 S 151,000 $19.63 d 1,666,123 indirect -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

ESSERMAN CHARLES - Director

2021-10-21 17:00:46 -0400 2021-10-19 J 12,195 a 12,195 direct -2.3713 -2.4218 1.8668 4 -2.4218 6

O'HARA JAMES L. - Director

2021-10-21 17:00:37 -0400 2021-10-19 G 73,171 d 0 direct -2.3713 -2.4218 1.8668 4 -2.4218 6

REBER CAROL - Officer SEE REMARKS by trust

2021-10-19 16:29:30 -0400 2021-10-19 S 85,000 $19.63 d 531,592 indirect -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

MALLARD HOLDCO, LLC - > 10% Owner

2021-10-21 17:00:55 -0400 2021-10-19 J 158,535 d 74,777,768 direct -2.3713 -2.4218 1.8668 4 -2.4218 6

O'HARA JAMES L. - Director

2021-10-21 17:00:37 -0400 2021-10-19 J 73,171 a 73,171 direct -2.3713 -2.4218 1.8668 4 -2.4218 6

PRZYBYLINSKI PETE - Officer SEE REMARKS by trust

2021-10-19 16:31:11 -0400 2021-10-19 S 85,000 $19.63 d 509,897 indirect -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

RASMUSON ZACH - Officer SEE REMARKS

2021-10-19 16:29:52 -0400 2021-10-19 S 85,000 $19.63 d 567,758 direct -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

ESSERMAN CHARLES - Director

2021-10-21 17:00:46 -0400 2021-10-19 G 12,195 d 0 direct -2.3713 -2.4218 1.8668 4 -2.4218 6

MALLARD HOLDCO, LLC - > 10% Owner

2021-10-21 17:00:55 -0400 2021-10-19 S 11,497,000 $19.63 d 74,936,303 direct -2.3713 -2.4218 1.8668 4 -2.4218 6

SULLIVAN SEAN B.A. - Officer SEE REMARKS

2021-10-19 16:31:37 -0400 2021-10-19 S 25,000 $19.63 d 213,263 direct -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

BEAUDOIN LORI - Officer SEE REMARKS by trust

2021-10-19 16:30:46 -0400 2021-10-19 S 72,000 $19.63 d 849,595 indirect -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

SULLIVAN SEAN B.A. - Officer SEE REMARKS

2021-10-19 16:31:37 -0400 2021-10-18 S 5,000 $19.85 d 238,263 direct yes -1.5633 1.8154 -5.7993 4.7907 10 -7.4634 30

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 22:15:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 21:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 21:15:04 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 20:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 20:15:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 19:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 19:15:04 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 18:45:04 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 18:15:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 17:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 17:15:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 16:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 16:15:04 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 15:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 15:15:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 14:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 14:15:05 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 13:45:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 13:15:03 UTC -0.2786 0.3486 1300000
DUCKHORN PORTFOLIO INC-THE NAPA 2021-12-03 12:45:03 UTC -0.2786 0.3486 1300000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
Alger Funds II- Alger Dynamic Opportunities Fund NAPA -8083.0 shares, $-177583.51 2021-07-31 N-PORT
Blackstone Alternative Investment Funds- Blackstone Alternative Multi-Strategy Fund NAPA -3700.0 shares, $-84693.0 2021-09-30 N-PORT

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