0001493152-18-008909.txt : 20180619 0001493152-18-008909.hdr.sgml : 20180619 20180619145159 ACCESSION NUMBER: 0001493152-18-008909 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180618 FILED AS OF DATE: 20180619 DATE AS OF CHANGE: 20180619 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: 18906949 MAIL ADDRESS: STREET 1: 135 5TH AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 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 4 1 form4.xml X0306 4 2018-06-18 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, Chair. & Dir. Common Stock 2018-06-18 4 A 0 1833 0.70 A 166141 I seefootnote Series B Preferred Stock 2100 I seefootnote Common Stock 3777425 I seefootnote Common Stock 336545 D Stock Option 0.77 2023-02-14 Common Stock 1000000 1000000 D Stock Option 1.10 2022-12-17 Common Stock 300000 300000 D Stock Option 2.48 2015-08-27 2019-08-27 Common Stock 150000 150000 D Stock Option 2.48 2019-08-27 Common Stock 500000 500000 D Stock Option 2.20 2020-06-08 Common Stock 1459890 1459890 D Warrant 2.30 2013-06-30 2018-06-30 Common Stock 2460 2460 D Warrant 2.30 2013-09-30 2018-09-30 Common Stock 27561 27561 D Warrant 2.30 2013-12-31 2018-12-31 Common Stock 36031 36031 D Warrant 2.30 2014-03-31 2019-03-31 Common Stock 59053 59053 D Warrant 2.30 2014-06-30 2019-06-30 Common Stock 58834 58834 D Warrant 2.30 2014-09-30 2019-09-30 Common Stock 31 31 D Warrant 2.30 2014-12-30 2019-12-30 Common Stock 40364 40364 D Warrant 2.00 2014-12-30 2019-12-30 Common Stock 10800 10800 D Warrant 2.00 2015-03-31 2020-03-31 Common Stock 24600 24600 D Warrant 2.00 2015-06-30 2020-06-30 Common Stock 43589 45589 D Warrant 2.00 2015-09-30 2020-09-30 Common Stock 28481 28481 D Warrant 2.00 2015-12-31 2020-12-31 Common Stock 3518 3518 D Shares held by Mr. Mathis' 401(k) account. Series B Preferred Shares are automatically convertible to Common Shares at a ratio of 1 Preferred Share to 10 Common Shares upon uplisting to national stock exchange or prior thereto at holder's option. Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member. Reflects a transfer of Company shares to certain WOW Group members in redemption of their WOW Group interests. Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 250,000 shares vest on 2/14/19; thereafter options to acquire 187,500 shares vest every three months in equal installments. Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 75,000 shares vest on 12/17/18; thereafter options to acquire 18,750 shares vest every three months in equal installments. Options granted pursuant to AWLD's 2008 Equity Incentive Plan. Options to acquire 31,250 vest on November 27, 2014; thereafter options to acquire 31,250 shares vest every three months in equal installments. Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months in equal installments. 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 2018-06-19