0001493152-17-004384.txt : 20170425 0001493152-17-004384.hdr.sgml : 20170425 20170425214141 ACCESSION NUMBER: 0001493152-17-004384 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150415 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: 17782343 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 2015-04-15 2015-10-01 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 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 8.03 2015-04-15 4 J 0 1713 0 D 2011-04-15 2015-04-15 Common Stock 1713 4038048 D Stock Option 2.20 2015-06-08 4 A 0 1459890 0 A 2020-06-08 Common Stock 1459890 4038048 D Stock Option 3.85 2012-04-15 2016-04-15 Common Stock 25000 4038048 D Stock Option 3.85 2016-07-06 Common Stock 422500 4038048 D Stock Option 3.85 2013-04-15 2017-04-15 Common Stock 25000 4038048 D Stock Option 2.48 2014-04-15 2018-04-15 Common Stock 25000 4038048 D Stock Option 2.48 2013-06-30 2018-06-30 Common Stock 1000000 4038048 D Stock Option 2.48 2015-08-27 2019-08-27 Common Stock 150000 4038048 D Stock Option 2.48 2019-08-27 Common Stock 500000 4038048 D Warrant 1.59 2015-07-27 4 J 0 22237 0 D 2010-07-27 2015-07-27 Common Stock 22237 4038048 D Warrant 2.00 2015-03-31 4 A 0 24600 0 A 2015-03-31 2020-03-31 Common Stock 24600 4038048 D Warrant 2.00 2015-06-30 4 A 0 43589 0 A 2015-06-30 2020-06-30 Common Stock 43589 4038048 D Warrant 2.30 2012-10-31 2017-10-31 Common Stock 85518 4038048 D Warrant 2.30 2012-12-31 2017-12-31 Common Stock 18939 4038048 D Warrant 2.30 2013-03-31 2018-03-31 Common Stock 22878 4038048 D Warrant 2.30 2013-06-30 2018-06-30 Common Stock 2460 4038048 D Warrant 2.30 2013-09-30 2018-09-30 Common Stock 27561 4038048 D Warrant 2.30 2013-12-31 2018-12-31 Common Stock 36031 4038048 D Warrant 2.30 2014-03-31 2019-03-31 Common Stock 59053 4038048 D Warrant 2.30 2014-06-30 2019-06-30 Common Stock 58834 4038048 D Warrant 2.30 2014-09-30 2019-09-30 Common Stock 31 4038048 D Warrant 2.30 2014-12-30 2019-12-30 Common Stock 40364 4038048 D Warrant 2.00 2014-12-30 2019-12-30 Common Stock 10800 4038048 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. Expiration of options with no value received. 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. This Form 4 is amended to include five warrants issued to Mr. Mathis and one option that expired that were inadvertently omitted from the original Form 4 as filed and corrects the total amount of beneficially owned derivative securities. 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