0001144204-15-063934.txt : 20151110
0001144204-15-063934.hdr.sgml : 20151110
20151109194614
ACCESSION NUMBER: 0001144204-15-063934
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151106
FILED AS OF DATE: 20151109
DATE AS OF CHANGE: 20151109
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: 151217157
MAIL ADDRESS:
STREET 1: 135 5TH AVENUE
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
4
1
v424219_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-11-06
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
2015-11-06
4
P
0
2800
2.50
A
98399
I
See Footnote
Common Stock
4660656
I
See Footnote
Common Stock
336545
D
Stock Option
2.20
2020-06-08
Common Stock
1459890
3918664
D
Stock Option
3.85
2012-04-15
2016-04-15
Common Stock
25000
3918664
D
Stock Option
3.85
2016-07-06
Common Stock
422500
3918664
D
Stock Option
3.85
2013-04-15
2017-04-15
Common Stock
25000
3918664
D
Stock Option
2.48
2014-04-15
2018-04-15
Common Stock
25000
3918664
D
Stock Option
2.48
2013-06-30
2018-06-30
Common Stock
1000000
3918664
D
Stock Option
2.48
2015-08-27
2019-08-27
Common Stock
150000
3918664
D
Stock Option
2.48
2019-08-27
Common Stock
500000
3918664
D
Warrant
2.30
2012-10-31
2017-10-31
Common Stock
85518
3918664
D
Warrant
2.30
2012-12-31
2017-12-31
Common Stock
18939
3918664
D
Warrant
2.30
2013-03-31
2018-03-31
Common Stock
22878
3918664
D
Warrant
2.30
2013-06-30
2018-06-30
Common Stock
2460
3918664
D
Warrant
2.30
2013-09-30
2018-09-30
Common Stock
27561
3918664
D
Warrant
2.30
2013-12-31
2018-12-31
Common Stock
36031
3918664
D
Warrant
2.30
2014-03-31
2019-03-31
Common Stock
59053
3918664
D
Warrant
2.30
2014-06-30
2019-06-30
Common Stock
58834
3918664
D
Shares held by Mr. Mathis' 401(k) account.
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 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.
/s/Scott L. Mathis
2015-11-09