Notification That Quarterly Report Will Be Submitted Late (nt 10-q)
November 14 2017 - 9:13AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25
NOTIFICATION OF LATE FILING
SEC FILE NUMBER
001-35973
CUSIP NUMBER
897871109
(Check one)
:
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¨
Form
10-K
¨
Form 20-F
¨
Form
11-K
x
Form 10-Q
¨
Form
10-D
¨
Form N-SAR
¨
Form N-CSR
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For Period Ended:
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September 30, 2017
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¨
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Transition Report on Form 10-K
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¨
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Transition Report on Form 20-F
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¨
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Transition Report on Form 11-K
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¨
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Transition Report on Form 10-Q
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¨
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Transition Report on Form N-SAR
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For the Transition Period Ended:
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Read Instruction (on back page) Before Preparing
Form. Please Print or Type.
Nothing in this form shall be construed to imply
that the Commission has verified any information contained herein.
If the notification relates to a portion of the filing checked
above, identify the Item(s) to which the notification relates:
PART I — REGISTRANT
INFORMATION
TRUETT-HURST, INC.
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Full Name of Registrant
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Former Name if Applicable
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5610 Dry Creek Road
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Address of Principal Executive Office
(Street and Number)
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Healdsburg, California
95448
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City, State and Zip Code
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PART II — RULES 12b-25(b) AND (c)
If the subject report could not be filed without unreasonable
effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if
appropriate)
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(a)
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The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense
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x
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(b)
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The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and
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(c)
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The accountant’s
statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
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PART III — NARRATIVE
State below in reasonable detail
why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the
prescribed time period.
(Attach extra Sheets if Needed)
The Registrant is unable
to file its Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Quarter Ended
September 30, 2017, or Form 10-Q, within the prescribed time period due to its difficulty in completing, obtaining and reviewing
required financial and other information without unreasonable effort and expense. The Registrant expects to file the Form 10-Q
within the time period permitted by this extension.
PART IV — OTHER INFORMATION
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(1)
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Name and telephone number of person to contact in regard
to this notification
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Phillip L. Hurst
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(707)
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431-4423
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(Name)
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(Area Code)
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(Telephone Number)
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(2)
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Have all other periodic reports required under Section
13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12
months or for such shorter period that the registrant was required to file such report(s) been filed ? If answer is no, identify
report(s).
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Yes
x
No
¨
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(3)
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Is it anticipated that any significant change in results of operations from
the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report
or portion thereof ?
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Yes
¨
No
x
If
so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons
why a reasonable estimate of the results cannot be made.
TRUETT-HURST,
INC.
(Name of Registrant
as Specified in Charter)
has caused this notification to be signed on its behalf by the
undersigned hereunto duly authorized.
Date
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November 14, 2017
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By
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/s/ Phillip L. Hurst
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Phillip L. Hurst
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Chief Executive Officer and Chairman
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Intentional misstatements
or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).
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