SEC Form 4 · accession 0001493152-16-013641
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith T Fasano
Officer — CCO
Period of report
Sep 23, 2016
Accepted (ET)
Sep 28, 2016 · 1:07 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 | Sep 23, 2016 | P | 5,000 | $2.00 | A | 24,497 | I | See Footnote |
| Common Stock* | holding | — | — | — | 1,843 | 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,F4,F3 | $3.85 | Jul 6, 2016 | J | 65,000 | D | — | Jul 6, 2016 | Common Stock | 65,000 | 250,000 | D |
| Stock OptionF5 | $2.48 | holding | — | — | — | — | Jun 30, 2018 | Common Stock | 100,000 | 250,000 | D |
| Stock OptionF6 | $2.48 | holding | — | — | — | — | Aug 27, 2019 | Common Stock | 150,000 | 250,000 | D |
Explanation of responses
- F1Shares held by Mr. Fasano's 401(k) account.
- F2Options granted reflected herein are granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F3Option granted on July 6, 2011; 16,250 shares vested on July 6, 2012; thereafter 4,062 shares vest every three months with the remaining 4,068 vesting on July 6, 2015.
- F4Expiration of options with no value received.
- F5Option granted on June 30, 2013; 25,000 shares vested on June 30, 2014; thereafter 6,250 shares vest every three months.
- F6Option granted on August 27, 2014; 37,500 shares vested on August 27, 2015; thereafter 9,375 shares vest every three months.
Remarks
* Pursuant to Rule 16a-1(a)(iii), does not include 135,057 shares held by The WOW Group, LLC, of which Mr. Fasano is a member.