SEC Form 4/A · accession 0001144204-15-072020
Truett-Hurst, Inc. · THST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James Barrie Graham
Director
Period of report
Dec 14, 2015
Accepted (ET)
Dec 21, 2015 · 6:43 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 | 12,181 | 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