0001493152-17-004383.txt : 20170425 0001493152-17-004383.hdr.sgml : 20170425 20170425214108 ACCESSION NUMBER: 0001493152-17-004383 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140908 FILED AS OF DATE: 20170425 DATE AS OF CHANGE: 20170425 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-55209 FILM NUMBER: 17782342 MAIL ADDRESS: STREET 1: 135 5TH AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 4/A 1 form4a.xml X0306 4/A 2014-09-08 2015-04-03 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 & Director Common Stock 2014-09-08 4 P 0 10000 2.00 A 83467 I See footnote Common Stock 2014-11-24 4 P 0 3500 2.00 A 86967 I See footnote Common Stock 2015-03-08 4 P 0 4000 2.00 A 90967 I See footnote Common Stock 4713807 I See footnote Common Stock 336545 D Stock Option 2.63 2015-02-22 4 J 0 47132 0 D 2013-02-22 2015-02-22 Common Stock 47132 2533919 D Stock Option 2.48 2015-08-27 2019-08-27 Common Stock 150000 2533919 D Stock Option 2.48 2019-08-27 Common Stock 500000 2533919 D Stock Option 8.03 2011-04-15 2015-04-15 Common Stock 1713 2533919 D Stock Option 3.85 2012-04-15 2016-04-15 Common Stock 25000 2533919 D Stock Option 3.85 2013-04-15 2017-04-15 Common Stock 25000 2533919 D Stock Option 2.48 2014-04-15 2018-04-15 Common Stock 25000 2533919 D Stock Option 3.85 2016-07-06 Common Stock 422500 2533919 D Stock Option 2.48 2013-06-30 2018-06-30 Common Stock 1000000 2533919 D Warrant 1.59 2015-04-03 4 J 0 6576 0 D 2010-04-03 2015-04-03 Common Stock 6576 2533919 D Warrant 2.30 2014-09-30 4 A 0 31 0 A 2014-09-30 2019-09-30 Common Stock 31 2533919 D Warrant 2.30 2014-12-31 4 A 0 40364 0 A 2014-12-30 2019-12-30 Common Stock 40364 2533919 D Warrant 2.00 2014-12-31 4 A 0 10800 0 A 2014-12-30 2019-12-30 Common Stock 10800 2533919 D Warrant 1.59 2010-07-27 2015-07-27 Common Stock 22237 2533919 D Warrant 2.30 2012-12-31 2017-12-31 Common Stock 18939 2533919 D Warrant 2.30 2012-10-31 2017-10-31 Common Stock 85518 2533919 D Warrant 2.30 2013-03-31 2018-03-31 Common Stock 22878 2533919 D Warrant 2.30 2013-06-30 2018-06-30 Common Stock 2460 2533919 D Warrant 2.30 2013-09-30 2018-09-30 Common Stock 27561 2533919 D Warrant 2.30 2013-12-31 2018-12-31 Common Stock 36031 2533919 D Warrant 2.30 2014-03-31 2019-03-31 Common Stock 59053 2533919 D Warrant 2.30 2014-06-30 2019-06-30 Common Stock 58834 2533919 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. This Form 4 is amended to include three warrants issued to Mr. Mathis and the expiration of an option and a warrant that were inadvertently omitted from the original Form 4 as filed and corrects the total amount of beneficially owned derivative securities. Expiration of options with no value received. Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 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. Expiration of warrants with no value received. 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 2017-04-25