SEC Form 4/A · accession 0001493152-17-004384
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
Apr 15, 2015
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 StockF1 | Aug 27, 2015 | P | 4,632 | $2.00 | A | 95,599 | I | See footnote |
| Common StockF3 | Aug 27, 2015 | J | 53,151 | $2.00 | D | 4,660,656 | 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 OptionF4,F10 | $8.03 | Apr 15, 2015 | J | 1,713 | D | Apr 15, 2011 | Apr 15, 2015 | Common Stock | 1,713 | 4,038,048 | D |
| Stock OptionF4,F6 | $2.20 | Jun 8, 2015 | A | 1,459,890 | A | — | Jun 8, 2020 | Common Stock | 1,459,890 | 4,038,048 | D |
| Warrant | $1.59 | Jul 27, 2015 | J | 22,237 | D | Jul 27, 2010 | Jul 27, 2015 | Common Stock | 22,237 | 4,038,048 | D |
| WarrantF10 | $2.00 | Mar 31, 2015 | A | 24,600 | A | Mar 31, 2015 | Mar 31, 2020 | Common Stock | 24,600 | 4,038,048 | D |
| WarrantF10 | $2.00 | Jun 30, 2015 | A | 43,589 | A | Jun 30, 2015 | Jun 30, 2020 | Common Stock | 43,589 | 4,038,048 | D |
| Stock OptionF4 | $3.85 | holding | — | — | — | Apr 15, 2012 | Apr 15, 2016 | Common Stock | 25,000 | 4,038,048 | D |
| Stock OptionF4,F7 | $3.85 | holding | — | — | — | — | Jul 6, 2016 | Common Stock | 422,500 | 4,038,048 | D |
| Stock OptionF4 | $3.85 | holding | — | — | — | Apr 15, 2013 | Apr 15, 2017 | Common Stock | 25,000 | 4,038,048 | D |
| Stock OptionF4 | $2.48 | holding | — | — | — | Apr 15, 2014 | Apr 15, 2018 | Common Stock | 25,000 | 4,038,048 | D |
| Stock OptionF4 | $2.48 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 1,000,000 | 4,038,048 | D |
| Stock OptionF4 | $2.48 | holding | — | — | — | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 4,038,048 | D |
| Stock OptionF4,F8 | $2.48 | holding | — | — | — | — | Aug 27, 2019 | Common Stock | 500,000 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Oct 31, 2012 | Oct 31, 2017 | Common Stock | 85,518 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Dec 31, 2012 | Dec 31, 2017 | Common Stock | 18,939 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Mar 31, 2013 | Mar 31, 2018 | Common Stock | 22,878 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 2,460 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Sep 30, 2013 | Sep 30, 2018 | Common Stock | 27,561 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Dec 31, 2013 | Dec 31, 2018 | Common Stock | 36,031 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Mar 31, 2014 | Mar 31, 2019 | Common Stock | 59,053 | 4,038,048 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Jun 30, 2014 | Jun 30, 2019 | Common Stock | 58,834 | 4,038,048 | D |
| WarrantF10,F11 | $2.30 | holding | — | — | — | Sep 30, 2014 | Sep 30, 2019 | Common Stock | 31 | 4,038,048 | D |
| WarrantF10,F11 | $2.30 | holding | — | — | — | Dec 30, 2014 | Dec 30, 2019 | Common Stock | 40,364 | 4,038,048 | D |
| WarrantF10 | $2.00 | holding | — | — | — | Dec 30, 2014 | Dec 30, 2019 | Common Stock | 10,800 | 4,038,048 | D |
Explanation of responses
- F1Shares held by Mr. Mathis' 401(k) account.
- F10This Form 4 is amended to include five warrants issued to Mr. Mathis and one option that expired that were inadvertently omitted from the original Form 4 as filed and corrects the total amount of beneficially owned derivative securities.
- F11Warrants 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.
- F2Represents a distribution of shares held by The WOW Group, LLC in redemption of the membership interest of certain members of The WOW Group, LLC.
- F3Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
- F4Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F5Expiration of options with no value received.
- F6Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 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.
- F8Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
- F9Expiration of warrants with no value received.