SEC Form 4/A · accession 0001493152-17-004383

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 & Director · Director · 10% Owner

Period of report

Sep 8, 2014

Accepted (ET)

Apr 25, 2017 · 9:41 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^F1	Sep 8, 2014	P	10,000	$2.00	A	83,467	I	See footnote
Common Stock^F1	Nov 24, 2014	P	3,500	$2.00	A	86,967	I	See footnote
Common Stock^F1	Mar 8, 2015	P	4,000	$2.00	A	90,967	I	See footnote
Common Stock^F2	holding	—	—		—	4,713,807	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^F3,F4	$2.63	Feb 22, 2015	J	47,132	D	Feb 22, 2013	Feb 22, 2015	Common Stock	47,132	2,533,919	D
Warrant^F4	$1.59	Apr 3, 2015	J	6,576	D	Apr 3, 2010	Apr 3, 2015	Common Stock	6,576	2,533,919	D
Warrant^F4,F9	$2.30	Sep 30, 2014	A	31	A	Sep 30, 2014	Sep 30, 2019	Common Stock	31	2,533,919	D
Warrant^F4,F9	$2.30	Dec 31, 2014	A	40,364	A	Dec 30, 2014	Dec 30, 2019	Common Stock	40,364	2,533,919	D
Warrant^F4	$2.00	Dec 31, 2014	A	10,800	A	Dec 30, 2014	Dec 30, 2019	Common Stock	10,800	2,533,919	D
Stock Option^F3	$2.48	holding	—	—	—	Aug 27, 2015	Aug 27, 2019	Common Stock	150,000	2,533,919	D
Stock Option^F3,F6	$2.48	holding	—	—	—	—	Aug 27, 2019	Common Stock	500,000	2,533,919	D
Stock Option^F3	$8.03	holding	—	—	—	Apr 15, 2011	Apr 15, 2015	Common Stock	1,713	2,533,919	D
Stock Option^F3	$3.85	holding	—	—	—	Apr 15, 2012	Apr 15, 2016	Common Stock	25,000	2,533,919	D
Stock Option^F3	$3.85	holding	—	—	—	Apr 15, 2013	Apr 15, 2017	Common Stock	25,000	2,533,919	D
Stock Option^F3	$2.48	holding	—	—	—	Apr 15, 2014	Apr 15, 2018	Common Stock	25,000	2,533,919	D
Stock Option^F3,F7	$3.85	holding	—	—	—	—	Jul 6, 2016	Common Stock	422,500	2,533,919	D
Stock Option^F3	$2.48	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	1,000,000	2,533,919	D
Warrant	$1.59	holding	—	—	—	Jul 27, 2010	Jul 27, 2015	Common Stock	22,237	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Dec 31, 2012	Dec 31, 2017	Common Stock	18,939	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Oct 31, 2012	Oct 31, 2017	Common Stock	85,518	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Mar 31, 2013	Mar 31, 2018	Common Stock	22,878	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	2,460	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Sep 30, 2013	Sep 30, 2018	Common Stock	27,561	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Dec 31, 2013	Dec 31, 2018	Common Stock	36,031	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Mar 31, 2014	Mar 31, 2019	Common Stock	59,053	2,533,919	D
Warrant^F9	$2.30	holding	—	—	—	Jun 30, 2014	Jun 30, 2019	Common Stock	58,834	2,533,919	D

Explanation of responses

F1Shares held by Mr. Mathis' 401(k) account.
F2Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
F3Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
F4This Form 4 is amended to include three warrants issued to Mr. Mathis and the expiration of an option and a warrant that were inadvertently omitted from the original Form 4 as filed and corrects the total amount of beneficially owned derivative securities.
F5Expiration of options with no value received.
F6Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
F7Options to acquire 105,625 vested on July 6, 2012; thereafter options to acquire 26,409 shares vest every three months.
F8Expiration of warrants with no value received.
F9Warrants to purchase Series A Preferred Stock were automatically converted 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.