MATHIS SCOTT L 4

Accession 0001493152-19-012251

CIK 0001559998other

View on SEC.gov Company Profile

Filed

Aug 12, 8:00 PM ET

Accepted

Aug 13, 5:26 PM ET

Size

29.3 KB

Accession

0001493152-19-012251

Insider Transaction Report

Form 4

Period: 2019-07-23

Gaucho Group Holdings, Inc.VINO

MATHIS SCOTT L

DirectorPresident, CEO, Chairman10% Owner

Transactions

Disposition to Issuer
Warrant
2019-07-23−3,518→ 0 total
Exercise: $2.00From: 2015-12-31Exp: 2020-12-31→ Common Stock (3,518 underlying)
Disposition to Issuer
Warrant
2019-07-23−24,600→ 0 total
Exercise: $2.00From: 2015-03-31Exp: 2020-03-31→ Common Stock (24,600 underlying)
Disposition to Issuer
Warrant
2019-07-23−10,800→ 0 total
Exercise: $2.00From: 2014-12-30Exp: 2019-12-30→ Common Stock (10,800 underlying)
Disposition to Issuer
Warrant
2019-07-23−40,364→ 0 total
Exercise: $2.30From: 2014-12-30Exp: 2019-12-30→ Common Stock (40,364 underlying)
Disposition to Issuer
Warrant
2019-07-23−43,589→ 0 total
Exercise: $2.00From: 2015-06-30Exp: 2020-06-30→ Common Stock (43,589 underlying)
Disposition to Issuer
Warrant
2019-07-23−31→ 0 total
Exercise: $2.30From: 2014-09-30Exp: 2019-09-30→ Common Stock (31 underlying)
Disposition to Issuer
Warrant
2019-07-23−28,481→ 0 total
Exercise: $2.00From: 2015-09-30Exp: 2020-09-30→ Common Stock (28,481 underlying)

Holdings

Common Stock
558,362
Stock Option
Exercise: $1.10Exp: 2022-12-17→ Common Stock (300,000 underlying)
300,000
Stock Option
Exercise: $0.77Exp: 2023-02-14→ Common Stock (1,000,000 underlying)
1,000,000
Stock Option
Exercise: $0.39Exp: 2024-07-08→ Common Stock (2,209,890 underlying)
2,209,890
Stock Option
Exercise: $0.39Exp: 2024-01-31→ Common Stock (450,000 underlying)
450,000
Common Stock
(indirect: See Footnote)
3,777,425
Common Stock
(indirect: See Footnote)
204,803
Series B Preferred Stock
(indirect: See Footnote)
2,100
Stock Option
Exercise: $0.54Exp: 2023-09-20→ Common Stock (725,000 underlying)
725,000

Footnotes (10)

[F1]Shares held by Mr. Mathis' 401(k) account.
[F10]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.
[F2]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.
[F3]Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
[F4]Warrants canceled with no consideration received.
[F5]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 GGH's Form 10 filed with the SEC on May 14, 2014.
[F6]Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 552,472 shares vest on 7/8/20; options to acquire 138,120 shares vest on 10/8/20; thereafter options to acquire 138,118 shares vest every three months in equal installments.
[F7]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.
[F8]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.
[F9]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.

Documents

1 file

4
ownership.xmlPrimary

Issuer

Gaucho Group Holdings, Inc.

CIK 0001559998

→

Entity typeother

IncorporatedNY

Related Parties

filerCIK 0001079963

Filing Metadata

Form type: 4
Filed: Aug 12, 8:00 PM ET
Accepted: Aug 13, 5:26 PM ET
Size: 29.3 KB

View on SEC.gov