SEC Form 4/A · accession 0001144204-15-064521
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
Peter J.L. Lawrence
Director
Period of report
Aug 27, 2014
Accepted (ET)
Nov 12, 2015 · 11:34 am 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 StockF1 | holding | — | — | — | 10,729 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 184,971 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $2.48 | Aug 27, 2014 | A | 150,000 | A | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 699,213 | D |
| Stock Option | $8.03 | holding | — | — | — | Apr 15, 2011 | Apr 15, 2015 | Common Stock | 1,713 | 699,213 | D |
| Stock Option | $3.85 | holding | — | — | — | Apr 15, 2012 | Apr 15, 2016 | Common Stock | 25,000 | 699,213 | D |
| Stock Option | $3.85 | holding | — | — | — | Apr 15, 2013 | Apr 15, 2017 | Common Stock | 25,000 | 699,213 | D |
| Stock Option | $2.48 | holding | — | — | — | Apr 15, 2014 | Apr 15, 2018 | Common Stock | 25,000 | 699,213 | D |
| Stock OptionF4 | $3.85 | holding | — | — | — | — | Jul 6, 2016 | Common Stock | 172,500 | 699,213 | D |
| Stock Option | $2.48 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 300,000 | 699,213 | D |
Explanation of responses
- F1Shares held by Mr. Lawrence and his spouse as trustees of the Peter Lawrence 1992 Settlement Trust.
- F2Of which 13,043 shares were automatically converted from Series A Preferred Stock 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.
- F3Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F4Options to acquire 34,500 vested on July 6, 2012; thereafter options to acquire 8,625 shares vest every three months.
Remarks
*This amended Form 4 corrects the Form 4 filed with the SEC on December 5, 2014 to correct the number of derivative securities owned following the reported transaction. The correct number is 699,213, not 488,838.