SEC Form 4/A · accession 0001144204-15-063173

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

Jun 8, 2015

Accepted (ET)

Nov 5, 2015 · 6:28 pm EST

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 Stock^F1	Aug 27, 2015	P	4,632	$2.00	A	95,599	I	See Footnote
Common Stock^F3	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 Option^F4,F5	$2.20	Jun 8, 2015	A	1,459,890	A	—	Jun 8, 2020	Common Stock	1,459,890	3,918,664	D
Warrant	$1.59	Jul 27, 2015	J	22,237	D	Jul 27, 2010	Jul 27, 2015	Common Stock	22,237	3,918,664	D
Stock Option	$3.85	holding	—	—	—	Apr 15, 2012	Apr 15, 2016	Common Stock	25,000	3,918,664	D
Stock Option^F6	$3.85	holding	—	—	—	—	Jul 6, 2016	Common Stock	422,500	3,918,664	D
Stock Option	$3.85	holding	—	—	—	Apr 15, 2013	Apr 15, 2017	Common Stock	25,000	3,918,664	D
Stock Option	$2.48	holding	—	—	—	Apr 15, 2014	Apr 15, 2018	Common Stock	25,000	3,918,664	D
Stock Option	$2.48	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	1,000,000	3,918,664	D
Stock Option	$2.48	holding	—	—	—	Aug 27, 2015	Aug 27, 2019	Common Stock	150,000	3,918,664	D
Stock Option^F7	$2.48	holding	—	—	—	—	Aug 27, 2019	Common Stock	500,000	3,918,664	D
Warrant	$2.30	holding	—	—	—	Oct 31, 2012	Oct 31, 2017	Common Stock	85,518	3,918,664	D
Warrant	$2.30	holding	—	—	—	Dec 31, 2012	Dec 31, 2017	Common Stock	18,939	3,918,664	D
Warrant	$2.30	holding	—	—	—	Mar 31, 2013	Mar 31, 2018	Common Stock	22,878	3,918,664	D
Warrant	$2.30	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	2,460	3,918,664	D
Warrant	$2.30	holding	—	—	—	Sep 30, 2013	Sep 30, 2018	Common Stock	27,561	3,918,664	D
Warrant	$2.30	holding	—	—	—	Dec 31, 2013	Dec 31, 2018	Common Stock	36,031	3,918,664	D
Warrant	$2.30	holding	—	—	—	Mar 31, 2014	Mar 31, 2019	Common Stock	59,053	3,918,664	D
Warrant	$2.30	holding	—	—	—	Jun 30, 2014	Jun 30, 2019	Common Stock	58,834	3,918,664	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.

Remarks

This amended Form 4 corrects the Form 4 filed with the SEC on October 1, 2015 to clarify the number of derivative securities owned following the reported transactions in Table II. As a result of the transactions, the number of beneficially owned non-derivative securities held by Mr. Mathis is 3,918,664.