Filing Details
- Accession Number:
- 0001214659-13-003542
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-20 19:32:19
- Reporting Period:
- 2013-06-20
- Filing Date:
- 2013-06-20
- Accepted Time:
- 2013-06-20 19:32:19
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1564709 | Truett-Hurst Inc. | THST | Beverages (2080) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1574520 | Iii E Paul Dolan | 190 Spur Ridge Ct. Healdsburg CA 95448 | No | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock | Acquisiton | 2013-06-20 | 34,000 | $6.00 | 34,000 | No | 4 | P | Indirect | By The Dolan 2003 Family Trust u/t/a dated June 5, 2003 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By The Dolan 2003 Family Trust u/t/a dated June 5, 2003 |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Class B Common Stock | 1 | Indirect | By The Dolan 2003 Family Trust u/t/a dated June 5, 2003 |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Common Stock | LLC Units of H.D.D. LLC | $0.00 | 547,064 | 547,064 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
547,064 | 547,064 | Indirect |
Footnotes
- The reporting person has agreed to share voting power with certain other holders of LLC units of H.D.D. LLC, a subsidiary of Truett-Hurst, Inc. Collectively, this group controls over 50% of the voting power of Truett-Hurst, Inc.
- Pursuant to the terms of an exchange agreement, LLC Units of H.D.D. LLC are exchangeable for shares of Class A common stock of Truett-Hurst, Inc. on a one-for-one basis, subject to customary conversion rate adjustments for stock splits, stock dividends and reclassifications, or cash at the election of Truett-Hurst, Inc.