IPO registrations (S-1, F-1) · Registrants
Truett-Hurst, Inc.
- SEC CIK
- 1564709 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2013-03-11, last 2013-06-18; 1 initial registration, 8 amendments
- Outcome
- Final prospectus filed 2013-06-20; declared effective 2013-06-19
- Industry (SIC)
- Beverages 2080
- Incorporated in
- DE
- Business address
- 4035 WESTSIDE ROAD, Healdsburg, CA 95448
- EDGAR entity type
- operating
- Insiders and CEO pay
- Truett-Hurst, Inc. on the corporate pages
Offering terms
- Proposed price range
- $6.00–$8.00 per share (S-1/A filed 2013-06-18)
- Final price
- $6.00 per share, within the range (424B4 filed 2013-06-20, an initial public offering)
- Shares sold
- 2,700,000
- Gross proceeds
- $16,200,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol THST
- Lead underwriters
- WR Hambrecht + Co (782,300 shares)
- Syndicate
- Feltl and Company; Sidoti & Company , LLC (1,070,000); CSCA Capital Advisors, LLC - Feltl and Comany, Inc (847,700)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- SEC filer: Truett-Hurst, Inc. EXACT (CIK (EXACT))
- Person page: Daniel A Carroll Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,TenPercentOwner))
Filings 12
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2013-03-11 | S-1 | S-1 (registration) | Truett-Hurst, Inc. | 0001214659-13-001353 ↗ |
| 2013-03-27 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-001651 ↗ |
| 2013-04-03 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-001844 ↗ |
| 2013-04-12 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-001960 ↗ |
| 2013-04-15 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-001998 ↗ |
| 2013-04-22 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-002138 ↗ |
| 2013-05-22 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-002973 ↗ |
| 2013-06-06 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-003262 ↗ |
| 2013-06-18 | S-1/A | S-1/A (amendment) | Truett-Hurst, Inc. | 0001214659-13-003450 ↗ |
| 2013-06-19 | EFFECT | EFFECT (declared effective) | Truett-Hurst, Inc. | 9999999995-13-001845 ↗ |
| 2013-06-20 | 424B4 | 424B4 (final prospectus) | Truett-Hurst, Inc. | 0001214659-13-003536 ↗ |
| 2014-10-17 | EFFECT | EFFECT (declared effective) | Truett-Hurst, Inc. | 9999999995-14-003088 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2013-06-18 | S-1/A | registration statement | $6.00–$8.00 | 2,700,000 | - | Nasdaq THST | 2 | primary document; range, shares headline, cover names 2 | document ↗ | |
| 2013-06-20 | 424B4 | final prospectus | $6.00 | 2,700,000 | $16,200,000 | Nasdaq THST | 4 | primary document; price sentence, shares headline, proceeds table, underwriting table 3, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Bielenberg James D | Officer | Chief Financial Officer; Former Chief Financial Officer | 3 | 2013–2014 | |
| CARROLL DANIEL A | Director,TenPercentOwner | 2 | 2013 | person page Fuzzy | |
| Dolan Heath E | Director; Director,TenPercentOwner; Officer | Director | 5 | 2013–2014 | |
| Dolan Paul E III | Director; Director,TenPercentOwner; Officer | Director | 7 | 2013–2017 | |
| FRUTH JOHN D | Director | 7 | 2013–2016 | ||
| Graham James Barrie | Director; Director,Officer; Director,TenPercentOwner | Director | 17 | 2013–2018 | |
| Hambrecht Forrester | TenPercentOwner | 1 | 2013 | ||
| HAMBRECHT WILLIAM R | Director,TenPercentOwner; Other | 2 | 2013–2014 | ||
| Hurst Phillip L | Director,Officer,TenPercentOwner; Officer | President and CEO | 14 | 2013–2017 | |
| Lambrix Virginia M | Officer,TenPercentOwner | Director of Winemaking | 1 | 2013 | |
| Verhey James Frederick | Director | 5 | 2013–2015 | ||
| Forgue Paul | Officer | CFO & COO | 16 | 2014–2016 | |
| 1987-1988 Richard C Blum Irrevocable Children's Trust | TenPercentOwner | 2 | 2014 | ||
| KLEIN MICHAEL R | TenPercentOwner | 2 | 2014 | ||
| Benedetti Marcus Dante | Director | 7 | 2014–2018 | ||
| Weber Paul J | Director | 4 | 2015–2018 | ||
| Meyer Evan B | Officer | Chief Financial Officer | 2 | 2016–2018 | |
| GRIMES SPENCER B | Director | 3 | 2018 | ||
| Hansen Gerry L | Director | 2 | 2018 | ||
| Strobbe Jason J | Officer | EVP- Sales | 2 | 2018 | |
| WEAVER KAREN | Officer | Chief Financial Officer | 2 | 2018 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| SEC filer | Truett-Hurst, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Person page | Daniel A Carroll | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director,TenPercentOwner) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.