SEC Form 4 · accession 0001144204-15-057763
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Scott L Mathis
Officer — President, CEO & Chairman · Director · 10% Owner
Period of report
Jun 8, 2015
Accepted (ET)
Oct 1, 2015 · 7:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001559998
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 27, 2015 | P | 4,632 | $2.00 | A | 95,599 | I | See Footnote |
| Common StockF3 | Aug 27, 2015 | J | 53,151 | $2.00 | D | 4,660,656 | 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 OptionF4,F5 | $2.20 | Jun 8, 2015 | A | 1,459,890 | A | — | Jun 8, 2020 | Common Stock | 1,459,890 | 1,459,890 | D |
| Warrant | $1.59 | Jul 27, 2015 | J | 22,237 | D | Jul 27, 2010 | Jul 27, 2015 | Common Stock | 22,237 | 0 | D |
| Stock Option | $3.85 | holding | — | — | — | Apr 15, 2012 | Apr 15, 2016 | Common Stock | 25,000 | 25,000 | D |
| Stock OptionF6 | $3.85 | holding | — | — | — | — | Jul 6, 2016 | Common Stock | 422,500 | 422,500 | D |
| Stock Option | $3.85 | holding | — | — | — | Apr 15, 2013 | Apr 15, 2017 | Common Stock | 25,000 | 25,000 | D |
| Stock Option | $2.48 | holding | — | — | — | Apr 15, 2014 | Apr 15, 2018 | Common Stock | 25,000 | 25,000 | D |
| Stock Option | $2.48 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 1,000,000 | 1,000,000 | D |
| Stock Option | $2.48 | holding | — | — | — | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 150,000 | D |
| Stock OptionF7 | $2.48 | holding | — | — | — | — | Aug 27, 2019 | Common Stock | 500,000 | 500,000 | D |
| Warrant | $2.30 | holding | — | — | — | Oct 31, 2012 | Oct 31, 2017 | Common Stock | 85,518 | 85,518 | D |
| Warrant | $2.30 | holding | — | — | — | Dec 31, 2012 | Dec 31, 2017 | Common Stock | 18,939 | 18,939 | D |
| Warrant | $2.30 | holding | — | — | — | Mar 31, 2013 | Mar 31, 2018 | Common Stock | 22,878 | 22,878 | D |
| Warrant | $2.30 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 2,460 | 2,460 | D |
| Warrant | $2.30 | holding | — | — | — | Sep 30, 2013 | Sep 30, 2018 | Common Stock | 27,561 | 27,561 | D |
| Warrant | $2.30 | holding | — | — | — | Dec 31, 2013 | Dec 31, 2018 | Common Stock | 36,031 | 36,031 | D |
| Warrant | $2.30 | holding | — | — | — | Mar 31, 2014 | Mar 31, 2019 | Common Stock | 59,053 | 59,053 | D |
| Warrant | $2.30 | holding | — | — | — | Jun 30, 2014 | Jun 30, 2019 | Common Stock | 58,834 | 58,834 | D |
Explanation of responses
- F1Shares held by Mr. Mathis' 401(k) account.
- F2Represents a distribution of shares held by The WOW Group, LLC in redemption of the membership interest of certain members of The WOW Group, LLC.
- F3Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
- F4Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F5Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months.
- F6Options to acquire 105,625 vested on July 6, 2012; thereafter options to acquire 26,409 shares vest every three months.
- F7Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
- F8Expiration of warrants with no value received.