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