SEC Form 4 · accession 0001493152-17-014780
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maria I. Echevarria
Officer — CFO
Period of report
Dec 17, 2017
Accepted (ET)
Dec 19, 2017 · 4:48 pm EST
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 SharesF1 | holding | — | — | — | 575 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $1.10 | Dec 17, 2017 | A | 50,000 | A | — | Dec 6, 2022 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF3 | $2.20 | holding | — | — | — | — | Jun 8, 2020 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1Shares granted pursuant to the Company's 401(k) plan and held in Ms. Echevarria's 401(k) account.
- F2Options granted pursuant to AWLD's 2016 Equity Incentive Plan; options to acquire 12,500 shares vest on 12/17/18; thereafter options to acquire 37,500 shares vest in equal installments of 3,125 shares every three months.
- F3Options granted pursuant to AWLD's 2008 Equity Incentive Plan; options to acquire 37,500 shares vested on June 8, 2016; thereafter options to acquire 9,375 shares vest every three months.