SEC Form 4 · accession 0001493152-19-001646
Gaucho Group Holdings, Inc. · VINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott L Mathis
Officer — President, CEO, Chair. & Dir. · Director · 10% Owner
Period of report
Jan 31, 2019
Accepted (ET)
Feb 11, 2019 · 6:10 am 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 StockF1 | holding | — | — | — | 173,697 | I | see footnote | |
| Series B Preferred StockF2,F1 | holding | — | — | — | 2,100 | I | see footnote | |
| Common StockF3 | holding | — | — | — | 3,777,425 | I | see footnote | |
| Common Stock | holding | — | — | — | 538,362 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $0.385 | Jan 31, 2019 | A | 450,000 | A | — | Jan 31, 2024 | Common Stock | 450,000 | 450,000 | D |
| WarrantF11 | $2.30 | Sep 30, 2018 | J | 27,561 | D | Sep 30, 2013 | Sep 30, 2018 | Common Stock | 27,561 | 0 | D |
| WarrantF11 | $2.30 | Dec 31, 2018 | J | 36,031 | D | Dec 31, 2013 | Dec 31, 2018 | Common Stock | 36,031 | 0 | D |
| Stock OptionF5 | $0.539 | holding | — | — | — | — | Sep 20, 2023 | Common Stock | 725,000 | 725,000 | D |
| Stock OptionF6 | $0.77 | holding | — | — | — | — | Feb 14, 2023 | Common Stock | 1,000,000 | 1,000,000 | D |
| Stock OptionF7 | $1.10 | holding | — | — | — | — | Dec 17, 2022 | Common Stock | 300,000 | 300,000 | D |
| Stock OptionF8 | $2.48 | holding | — | — | — | Aug 27, 2015 | Aug 27, 2019 | Common Stock | 150,000 | 150,000 | D |
| Stock OptionF8 | $2.48 | holding | — | — | — | Aug 27, 2018 | Aug 27, 2019 | Common Stock | 500,000 | 500,000 | D |
| Stock OptionF8,F9 | $2.20 | holding | — | — | — | — | Jun 8, 2020 | Common Stock | 1,459,890 | 1,459,890 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Mar 31, 2014 | Mar 31, 2019 | Common Stock | 59,053 | 59,053 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Jun 30, 2014 | Jun 30, 2019 | Common Stock | 58,834 | 58,834 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Sep 30, 2014 | Sep 30, 2019 | Common Stock | 31 | 31 | D |
| WarrantF11 | $2.30 | holding | — | — | — | Dec 30, 2014 | Dec 30, 2019 | Common Stock | 40,364 | 40,364 | D |
| Warrant | $2.00 | holding | — | — | — | Dec 30, 2014 | Dec 30, 2019 | Common Stock | 10,800 | 10,800 | D |
| Warrant | $2.00 | holding | — | — | — | Mar 31, 2015 | Mar 31, 2020 | Common Stock | 24,600 | 24,600 | D |
| Warrant | $2.00 | holding | — | — | — | Jun 30, 2015 | Jun 30, 2020 | Common Stock | 43,589 | 43,589 | D |
| Warrant | $2.00 | holding | — | — | — | Sep 30, 2015 | Sep 30, 2020 | Common Stock | 28,481 | 28,481 | D |
| Warrant | $2.00 | holding | — | — | — | Dec 31, 2015 | Dec 31, 2020 | Common Stock | 3,518 | 3,518 | D |
Explanation of responses
- F1Shares held by Mr. Mathis' 401(k) account.
- F10Expiration of warrants with no value received.
- F11Warrants to purchase Series A Preferred Stock were automatically converted 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.
- F2Series B Preferred Shares are automatically convertible to Common Shares at a ratio of 1 Preferred Share to 10 Common Shares upon uplisting to national stock exchange or prior thereto at holder's option.
- F3Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
- F4Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 112,500 shares vest on 1/31/20; thereafter options to acquire 28,125 shares vest every three months in equal installments.
- F5Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 181,250 shares vest on 9/20/19; thereafter options to acquire 45,313 shares vest every three months in equal installments with the last installment of 45,307 vesting on 9/20/22.
- F6Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 250,000 shares vest on 2/14/19; thereafter options to acquire 62,500 shares vest every three months. This vesting schedule corrects the schedule as stated on previously filed Forms 4 for Mr. Mathis.
- F7Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 75,000 shares vest on 12/17/18; thereafter options to acquire 18,750 shares vest every three months.
- F8Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
- F9Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months.