SEC Form 4 · accession 0001493152-16-013205
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julian Beale
Director
Period of report
Jul 19, 2016
Accepted (ET)
Sep 8, 2016 · 4:16 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 Stock | holding | — | — | — | 97,588 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2,F3,F1 | $2.20 | Jul 19, 2016 | A | 200,000 | A | — | Jul 19, 2021 | Common Stock | 200,000 | 700,000 | D |
| Stock OptionF4,F5,F3 | $8.03 | Apr 15, 2015 | J | 1,713 | D | Apr 15, 2011 | Apr 15, 2015 | Common Stock | 1,713 | 700,000 | D |
| Stock OptionF4,F5,F3 | $3.85 | Apr 15, 2016 | J | 25,000 | D | Apr 15, 2012 | Apr 15, 2016 | Common Stock | 25,000 | 700,000 | D |
| Stock OptionF4,F5,F3 | $3.85 | Jul 6, 2016 | J | 172,500 | D | Jul 6, 2015 | Jul 6, 2016 | Common Stock | 172,500 | 700,000 | D |
| Stock OptionF3,F4 | $2.48 | holding | — | — | — | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 700,000 | D |
| Stock OptionF3,F4 | $3.85 | holding | — | — | — | Apr 15, 2013 | Apr 15, 2017 | Common Stock | 25,000 | 700,000 | D |
| Stock OptionF3,F4 | $2.48 | holding | — | — | — | Apr 15, 2014 | Apr 15, 2018 | Common Stock | 25,000 | 700,000 | D |
| Stock OptionF3,F4 | $2.48 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 300,000 | 700,000 | D |
Explanation of responses
- F1Options 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.
- F2Options granted pursuant to AWLD's 2016 Equity Incentive Plan.
- F3This Form 4 corrects the Form 4 filed with the SEC on December 16, 2014 which incorrectly reported the number of derivative securities owned following the reported transaction as 488,838 instead of 699,213. The number of securities reported herein are calculated after taking into account the correction described in the preceding sentence and all transactions reflected on this Form 4. Options reflected herein are granted pursuant to AWLD's 2016 Equity Incentive Plan.
- F4Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F5Expiration of options with no value received.