SEC Form 4/A · accession 0001144204-15-006223

Gaucho Group Holdings, Inc. · VINO

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

Scott L Mathis

Officer — President, CEO, Chairman · Director · 10% Owner

Period of report

Aug 27, 2014

Accepted (ET)

Feb 5, 2015 · 2:48 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001559998

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	4,713,807	I	See Footnote
Common Stock^F2	holding	—	—	—	73,467	I	See Footnote
Common Stock	holding	—	—	—	336,545	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F3,F7	$2.48	Aug 27, 2014	A	150,000	A	Aug 27, 2015	Aug 27, 2019	Common Stock	150,000	1,807,238	D
Stock Option^F7,F4	$2.48	Aug 27, 2014	A	500,000	A	—	Aug 27, 2019	Common Stock	500,000	1,807,238	D
Stock Option^F7	$2.63	holding	—	—	—	Feb 22, 2013	Feb 22, 2015	Common Stock	47,132	1,807,238	D
Stock Option^F7	$8.03	holding	—	—	—	Apr 15, 2011	Apr 15, 2015	Common Stock	1,713	1,807,238	D
Stock Option^F7	$3.85	holding	—	—	—	Apr 15, 2012	Apr 15, 2016	Common Stock	25,000	1,807,238	D
Stock Option^F7	$3.85	holding	—	—	—	Apr 15, 2013	Apr 15, 2017	Common Stock	25,000	1,807,238	D
Stock Option^F7	$2.48	holding	—	—	—	Apr 15, 2014	Apr 15, 2018	Common Stock	25,000	1,807,238	D
Stock Option^F7,F5	$3.85	holding	—	—	—	—	Jul 6, 2016	Common Stock	422,500	1,807,238	D
Stock Option^F7	$2.48	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	1,000,000	1,807,238	D
Warrant^F7	$1.59	holding	—	—	—	Apr 3, 2010	Apr 3, 2015	Common Stock	6,576	1,807,238	D
Warrant^F7	$1.59	holding	—	—	—	Jul 27, 2010	Jul 27, 2015	Common Stock	22,237	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Dec 31, 2012	Dec 31, 2017	Common Stock	18,939	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Oct 31, 2012	Oct 31, 2017	Common Stock	85,518	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Mar 31, 2013	Mar 31, 2018	Common Stock	22,878	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	2,460	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Sep 30, 2013	Sep 30, 2018	Common Stock	27,561	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Dec 31, 2013	Dec 31, 2018	Common Stock	36,031	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Mar 31, 2014	Mar 31, 2019	Common Stock	59,053	1,807,238	D
Warrant^F7,F6	$2.30	holding	—	—	—	Jun 30, 2014	Jun 30, 2019	Common Stock	58,834	1,807,238	D

Explanation of responses

F1Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
F2Shares held by Mr. Mathis' 401(k) account.
F3Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
F4Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
F5Options to acquire 105,625 vested on July 6, 2012; thereafter options to acquire 26,409 shares vest every three months.
F6Warrants to purchase Series A Preferred Stock were automatically converted to common stock on July 14, 2014 on a 1:1 basis pursuant to the effectiveness of AWLD's Form 10 filed with the SEC on May 14, 2014.
F7This amendment corrects the Form 4 previously filed on 12/05/2014 which incorrectly stated that Mr. Mathis beneficially owned 1,873,910 shares; the correct number is 1,807,238.

Remarks

This amendment also corrects the Form 4 previously filed on 12/05/2014 which incorrectly stated that Mr. Mathis held two warrants for 59,053 shares each and two warrants for 58,834 shares each. Mr. Mathis owns one warrant for 59,053 shares and one warrant for 58,834 shares.