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
  1. 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.
  2. 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.