SEC Form 4 · accession 0001144204-18-023281
Truett-Hurst, Inc. · THST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Barrie Graham
Director
Period of report
Apr 24, 2017
Accepted (ET)
Apr 27, 2018 · 7:39 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 24, 2017 | M | 10,000 | — | A | 66,789 | 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 UnitsF1,F2 | — | Apr 24, 2017 | A | 10,000 | A | — | — | Common Stock | 10,000 | 10,000 | D |
| Restricted Stock UnitsF1,F2 | — | Dec 24, 2017 | M | 10,000 | D | — | — | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of Truett-Hurst, Inc. common stock.
- F2The RSUs subject to this award vested in one installment on 12/24/2017.