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