0001493152-17-004290.txt : 20170421 0001493152-17-004290.hdr.sgml : 20170421 20170421183855 ACCESSION NUMBER: 0001493152-17-004290 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160415 FILED AS OF DATE: 20170421 DATE AS OF CHANGE: 20170421 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: 17776960 MAIL ADDRESS: STREET 1: 135 5TH AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 4 1 form4.xml X0306 4 2016-04-15 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, CHM&DIR Common Stock 2017-04-19 4 P 0 9600 2.50 A 107999 I See footnote Common Stock 2017-04-19 4 P 0 12000 2.50 A 119999 I See footnote Common Stock 4660656 I See footnote Common Stock 336545 D Stock Option 3.85 2016-04-15 4 J 0 25000 0 D 2012-04-15 2016-04-15 Common Stock 25000 3597547 D Stock Option 3.85 2016-07-06 4 J 0 422500 0 D 2016-07-06 Common Stock 422500 3597547 D Stock Option 3.85 2017-04-15 4 J 0 25000 0 D 2013-04-15 2017-04-15 Common Stock 25000 3597547 D Stock Option 2.48 2014-04-15 2018-04-15 Common Stock 25000 3597547 D Stock Option 2.48 2013-06-30 2018-06-30 Common Stock 1000000 3597547 D Stock Option 2.48 2015-08-27 2019-08-27 Common Stock 150000 3597547 D Stock Option 2.48 2019-08-27 Common Stock 500000 3597547 D Stock Option 2.20 2020-06-08 Common Stock 1459890 3597547 D Warrant 2.30 2012-10-31 2017-10-31 Common Stock 85518 3597547 D Warrant 2.30 2012-12-31 2017-12-31 Common Stock 18939 3597547 D Warrant 2.30 2013-03-31 2018-03-31 Common Stock 22878 3597547 D Warrant 2.30 2013-06-30 2018-06-30 Common Stock 2460 3597547 D Warrant 2.30 2013-09-30 2018-09-30 Common Stock 27561 3597547 D Warrant 2.30 2013-12-31 2018-12-31 Common Stock 36031 3597547 D Warrant 2.30 2014-03-31 2019-03-31 Common Stock 59053 3597547 D Warrant 2.30 2014-06-30 2019-06-30 Common Stock 58834 3597547 D Warrant 2.30 2014-09-30 2019-09-30 Common Stock 31 3597547 D Warrant 2.30 2014-12-30 2019-12-30 Common Stock 40364 3597547 D Warrant 2.00 2014-12-30 2019-12-30 Common Stock 10800 3597547 D Warrant 2.00 2015-03-31 2020-03-31 Common Stock 24600 3597547 D Warrant 2.00 2015-06-30 2020-06-30 Common Stock 43589 3597547 D Warrant 2.00 2015-09-30 2020-09-30 Common Stock 28481 3597547 D Warrant 2.00 2015-12-31 2020-12-31 Common Stock 3518 3597547 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 reflected herein are granted pursuant to Options granted pursuant to AWLD's 2008 Equity Incentive Plan. Expiration of options with no value received. 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. Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months. Warrants 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. /s/Scott L. Mathis 2017-04-21