SEC Form 4 · accession 0001144204-15-071403
Truett-Hurst, Inc. · THST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
James Barrie Graham
Director
Period of report
Dec 14, 2015
Accepted (ET)
Dec 16, 2015 · 8:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001564709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Dec 14, 2015 | M | 5,376 | $1.24 | A | 13,610 | D | |
| Class A Common Stock | Dec 15, 2015 | P | 1,000 | $1.86 | A | 40,235 | D | |
| Class A Common Stock | Dec 15, 2015 | P | 3,000 | $1.90 | A | 43,235 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | — | Dec 15, 2015 | A | 13,554 | A | — | Dec 15, 2025 | Common Stock | 13,554 | 13,554 | D |
Explanation of responses
- F1Common stock acquired upon the vesting of restricted stock awards granted 12/2014.
- F2Restricted stock units granted on 12/15/2015 vesting 100% at the one year anniversary, 12/15/2016