SEC Form 4 · accession 0001493152-18-013635
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter J.L. Lawrence
Director
Period of report
Apr 15, 2018
Accepted (ET)
Sep 24, 2018 · 1:22 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 | holding | — | — | — | 10,729 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 184,971 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $0.539 | Sep 20, 2018 | A | 200,000 | A | — | Sep 20, 2023 | Common Stock | 200,000 | 200,000 | D |
| Stock OptionF5 | $2.48 | Apr 15, 2018 | J | 25,000 | D | Apr 15, 2014 | Apr 15, 2018 | Common Stock | 25,000 | 0 | D |
| Stock OptionF5 | $2.48 | Jun 30, 2018 | J | 300,000 | D | Jun 30, 2013 | Jun 30, 2018 | Common Stock | 300,000 | 0 | D |
| Stock OptionF4 | $1.10 | holding | — | — | — | — | Dec 17, 2022 | Common Stock | 50,000 | 50,000 | D |
| Stock Option | $2.20 | holding | — | — | — | Jul 19, 2018 | Jul 19, 2021 | Common Stock | 200,000 | 200,000 | D |
| Stock OptionF5 | $2.48 | holding | — | — | — | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- 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 2018 Equity Incentive Plan; options to acquire 50,000 shares vest on 9/20/19; thereafter options to acquire 12,500 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.
- F6Expiration of options with no value received.