0001493152-19-003291.txt : 20190314 0001493152-19-003291.hdr.sgml : 20190314 20190314061532 ACCESSION NUMBER: 0001493152-19-003291 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190313 FILED AS OF DATE: 20190314 DATE AS OF CHANGE: 20190314 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: 19679672 MAIL ADDRESS: STREET 1: 135 5TH AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Gaucho Group Holdings, 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 FORMER COMPANY: FORMER CONFORMED NAME: Algodon Group, Inc. DATE OF NAME CHANGE: 20181107 FORMER COMPANY: FORMER CONFORMED NAME: Algodon Wines & Luxury Development Group, Inc. DATE OF NAME CHANGE: 20121010 4 1 ownership.xml X0306 4 2019-03-13 0 0001559998 Gaucho Group Holdings, 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 2019-03-13 4 A 0 31106 0.35 A 204803 I See footnote Series B Preferred Stock 2100 I See footnote Common Stock 3777425 I See footnote Common Stock 538362 D Stock Option 0.385 2024-01-31 Common Stock 450000 450000 D Stock Option 0.539 2023-09-20 Common Stock 725000 725000 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 2018-08-27 2019-08-27 Common Stock 500000 500000 D Stock Option 2.20 2020-06-08 Common Stock 1459890 1459890 D Warrant 2.30 2014-03-31 2019-03-31 Common Stock 59053 59503 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 43589 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. Mr. Mathis was granted 31,106 in connection with the Company's profit sharing plan for the December 31, 2018 year end. 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. Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 112,500 shares vest on 1/31/20; thereafter options to acquire 28,125 shares vest every three months in equal installments. Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 181,250 shares vest on 9/20/19; thereafter options to acquire 45,313 shares vest every three months in equal installments with the last installment of 45,307 vesting on 9/20/22. Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 250,000 shares vest on 2/14/19; thereafter options to acquire 62,500 shares vest every three months. 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. Options granted pursuant to AWLD's 2008 Equity Incentive Plan. Options to acquire 364,974 vest on June 8, 2016; thereafter options to acquire 91,243 shares vest every three months. 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 2019-03-13