0001144204-15-057763.txt : 20151001
0001144204-15-057763.hdr.sgml : 20151001
20151001190756
ACCESSION NUMBER: 0001144204-15-057763
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150608
FILED AS OF DATE: 20151001
DATE AS OF CHANGE: 20151001
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Algodon Wines & Luxury Development Group, Inc.
CENTRAL INDEX KEY: 0001559998
STANDARD INDUSTRIAL CLASSIFICATION: LAND SUBDIVIDERS & DEVELOPERS (NO CEMETERIES) [6552]
IRS NUMBER: 522158952
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 135 FIFTH AVENUE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 212-739-7650
MAIL ADDRESS:
STREET 1: 135 FIFTH AVENUE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MATHIS SCOTT L
CENTRAL INDEX KEY: 0001079963
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55209
FILM NUMBER: 151138211
MAIL ADDRESS:
STREET 1: 135 5TH AVENUE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
4
1
v421462_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-06-08
0
0001559998
Algodon Wines & Luxury Development Group, Inc.
VINO
0001079963
MATHIS SCOTT L
135 FIFTH AVENUE,
FLOOR 10
NEW YORK
NY
10010
1
1
1
0
President, CEO & Chairman
Common Stock
2015-08-27
4
P
0
4632
2.00
A
95599
I
See Footnote
Common Stock
2015-08-27
4
J
0
53151
2.00
D
4660656
I
See Footnote
Common Stock
336545
D
Stock Option
2.20
2015-06-08
4
A
0
1459890
0
A
2020-06-08
Common Stock
1459890
1459890
D
Stock Option
3.85
2012-04-15
2016-04-15
Common Stock
25000
25000
D
Stock Option
3.85
2016-07-06
Common Stock
422500
422500
D
Stock Option
3.85
2013-04-15
2017-04-15
Common Stock
25000
25000
D
Stock Option
2.48
2014-04-15
2018-04-15
Common Stock
25000
25000
D
Stock Option
2.48
2013-06-30
2018-06-30
Common Stock
1000000
1000000
D
Stock Option
2.48
2015-08-27
2019-08-27
Common Stock
150000
150000
D
Stock Option
2.48
2019-08-27
Common Stock
500000
500000
D
Warrant
1.59
2015-07-27
4
J
0
22237
0
D
2010-07-27
2015-07-27
Common Stock
22237
0
D
Warrant
2.30
2012-10-31
2017-10-31
Common Stock
85518
85518
D
Warrant
2.30
2012-12-31
2017-12-31
Common Stock
18939
18939
D
Warrant
2.30
2013-03-31
2018-03-31
Common Stock
22878
22878
D
Warrant
2.30
2013-06-30
2018-06-30
Common Stock
2460
2460
D
Warrant
2.30
2013-09-30
2018-09-30
Common Stock
27561
27561
D
Warrant
2.30
2013-12-31
2018-12-31
Common Stock
36031
36031
D
Warrant
2.30
2014-03-31
2019-03-31
Common Stock
59053
59053
D
Warrant
2.30
2014-06-30
2019-06-30
Common Stock
58834
58834
D
Shares held by Mr. Mathis' 401(k) account.
Represents a distribution of shares held by The WOW Group, LLC in redemption of the membership interest of certain members of The WOW Group, LLC.
Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
Options reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan.
Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months.
Options to acquire 105,625 vested on July 6, 2012; thereafter options to acquire 26,409 shares vest every three months.
Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months.
Expiration of warrants with no value received.
/s/ Scott L. Mathis
2015-10-01