Truett-Hurst, Inc. 4
4 · Truett-Hurst, Inc. · Filed Jun 20, 2013
Insider Transaction Report
Form 4
CARROLL DANIEL A
Director10% Owner
Transactions
- Purchase
Class A Common Stock
2013-06-20$6.00/sh+38,700$232,200→ 38,700 total(indirect: By Trust)
Holdings
- 1(indirect: By Trust)
Class B Common Stock
- 806,596(indirect: By Trust)
LLC Units of H.D.D. LLC
→ Class A Common Stock (806,596 underlying)
Footnotes (2)
- [F1]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.
- [F2]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.