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