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