SEC Form 4 · accession 0001493152-18-003768

Gaucho Group Holdings, Inc. · VINO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 17, 2017

Accepted (ET)

Mar 22, 2018 · 6:09 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	holding	—	—		—	10,729	I	See Note
Common Stock^F2	holding	—	—		—	184,971	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F3	$1.10	Dec 17, 2017	A	50,000	A	—	Dec 17, 2022	Common Stock	50,000	50,000	D
Stock Option^F4	$2.20	holding	—	—	—	—	Jul 19, 2021	Common Stock	200,000	200,000	D
Stock Option^F5	$2.48	holding	—	—	—	Aug 27, 2015	Aug 27, 2019	Common Stock	150,000	150,000	D
Stock Option^F5	$2.48	holding	—	—	—	Apr 15, 2014	Apr 15, 2018	Common Stock	25,000	25,000	D
Stock Option^F5	$2.48	holding	—	—	—	Jun 30, 2013	Jun 30, 2018	Common Stock	300,000	300,000	D

F1Shares held by Mr. Lawrence and his spouse as trustees of the Peter Lawrence 1992 Settlement Trust.
F2Of which 13,043 shares were automatically converted from Series A Preferred Stock 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.
F3Options 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.
F4Options granted pursuant to AWLD's 2016 Equity Incentive Plan; options to acquire 66,667 shares vested on 7/19/16; thereafter options to acquire 66,667 vested on 7/19/17 with the remainder of 66,666 vesting on 7/19/18.
F5Options granted pursuant to AWLD's 2008 Equity Incentive Plan.