SEC Form 4 · accession 0001493152-18-004887

Gaucho Group Holdings, Inc. · VINO

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

Reporting owner

Officer — CFO

Period of report

Mar 31, 2018

Accepted (ET)

Apr 6, 2018 · 8:09 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 Shares^F1	Apr 4, 2018	A	2,143	$0.70	A	2,143	I	See note
Common Shares^F1	Mar 31, 2018	A	480	$1.09	A	480	I	See note
Common Shares^F1	holding	—	—		—	575	I	See note

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option^F2	$0.77	holding	—	—	—	—	Feb 14, 2023	Common Stock	25,000	25,000	D
Stock Option^F3	$1.10	holding	—	—	—	—	Dec 6, 2022	Common Stock	50,000	50,000	D
Stock Option^F4	$2.20	holding	—	—	—	—	Jun 8, 2020	Common Stock	150,000	150,000	D

F1Exempt transaction under Rule 16b-3 for shares 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 6,256 shares vest on 2/14/19; thereafter options to acquire 18,744 shares vest in equal installments of 1,562 shares every three months.
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 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.