Filing Details
- Accession Number:
- 0001144204-15-071523
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-17 16:37:54
- Reporting Period:
- 2015-12-15
- Filing Date:
- 2015-12-17
- Accepted Time:
- 2015-12-17 16:37:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1574573 | L Phillip Hurst | 894 Chiquita Road Healdsburg CA 95448 | President And Ceo | No | Yes | 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 | 2015-12-15 | 150,000 | $1.24 | 150,400 | No | 4 | M | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| Class A Common Stock | Disposition | 2015-12-15 | 15,910 | $1.75 | 134,490 | No | 4 | S | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| Class A Common Stock | Disposition | 2015-12-15 | 22,832 | $1.77 | 111,658 | No | 4 | S | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| Class A Common Stock | Disposition | 2015-12-15 | 100 | $1.76 | 111,558 | No | 4 | S | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| No | 4 | S | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| No | 4 | S | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
| No | 4 | S | Indirect | By The Hurst Family Revocable Trust dated August 1, 2004 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock Of Truett-Hurst, Inc | LLC Units of HDD LLC | Disposition | 2015-12-15 | 150,000 | $0.00 | 150,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 894,114 | No | 4 | M | Indirect |
Footnotes
- 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. The rights to convert LLC Units into Class A common stock do not have expiration dates.
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