SEC Form 4 · accession 0001493152-16-012056
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter J.L. Lawrence
Director
Period of report
Jul 19, 2016
Accepted (ET)
Aug 5, 2016 · 5:25 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 | 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 OptionF4,F5,F3 | $2.20 | Jul 19, 2016 | A | 200,000 | A | — | Jul 19, 2021 | Common Stock | 200,000 | 700,000 | D |
| Stock OptionF6,F5 | $8.03 | Apr 15, 2015 | J | 1,713 | D | Apr 15, 2011 | Apr 15, 2015 | Common Stock | 1,713 | 700,000 | D |
| Stock OptionF6,F5 | $3.85 | Apr 15, 2016 | J | 25,000 | D | Apr 15, 2012 | Apr 15, 2016 | Common Stock | 25,000 | 700,000 | D |
| Stock OptionF6,F5 | $3.85 | Jul 6, 2016 | J | 172,500 | D | Jul 6, 2015 | Jul 6, 2016 | Common Stock | 172,500 | 700,000 | D |
| Stock OptionF5 | $2.48 | holding | — | — | — | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 700,000 | D |
| Stock OptionF5 | $3.85 | holding | — | — | — | Apr 15, 2013 | Apr 15, 2017 | Common Stock | 25,000 | 700,000 | D |
| Stock OptionF5 | $2.48 | holding | — | — | — | Apr 15, 2014 | Apr 15, 2018 | Common Stock | 25,000 | 700,000 | D |
| Stock OptionF5 | $2.48 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 300,000 | 700,000 | 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 to acquire 66,667 shares vested on July 19, 2016; thereafter options to acquire 66,667 vest on July 19, 2017 with the remainder of 66,666 vesting on July 19, 2018.
- F4Options to purchase 200,000 shares of common stock granted pursuant to AWLD's 2016 Equity Incentive Plan. The remainder of the options listed herein were granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F5Reported after taking into account all transactions reflected on this Form 4.
- F6Expiration of options with no value received.