SEC Form 4 · accession 0001493152-18-013611
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
Sep 20, 2018
Accepted (ET)
Sep 21, 2018 · 9:02 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 SharesF1 | holding | — | — | — | 3,198 | 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 | $0.539 | Sep 20, 2018 | A | 30,000 | A | — | Sep 20, 2023 | Common Stock | 30,000 | 30,000 | D |
| Stock OptionF3 | $0.77 | holding | — | — | — | — | Feb 14, 2023 | Common Stock | 25,000 | 25,000 | D |
| Stock OptionF4 | $1.10 | holding | — | — | — | — | Dec 6, 2022 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF5 | $2.20 | holding | — | — | — | — | Jun 8, 2020 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1Held in Ms. Echevarria's 401(k) account.
- F2Options granted pursuant to AWLD's 2018 Equity Incentive Plan; options to acquire 7,500 shares vest on 9/20/19; thereafter options to acquire 1,875 shares vest every three months.
- F3Options granted pursuant to AWLD's 2016 Equity Incentive Plan; options to acquire 6,256 shares vest on 2/14/19; thereafter options to acquire 1,562 shares vest every three months.
- F4Options granted pursuant to AWLD's 2016 Equity Incentive Plan; options to acquire 12,500 shares vest on 12/17/18; thereafter options to acquire 3,125 shares vest every three months.
- F5Options 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 vest every three months.