4//SEC Filing
MATHIS SCOTT L 4
Accession 0001493152-21-001758
CIK 0001559998other
Filed
Jan 24, 7:00 PM ET
Accepted
Jan 25, 5:22 PM ET
Size
14.9 KB
Accession
0001493152-21-001758
Insider Transaction Report
Form 4
MATHIS SCOTT L
DirectorPresident, CEO, Chairman10% Owner
Transactions
- Award
Common Stock
2020-10-23$0.56/sh+6,782$3,778→ 241,026 total(indirect: See Footnote)
Holdings
- 450,000
Stock Option
Exercise: $0.39Exp: 2024-01-31→ Common Stock (450,000 underlying) - 2,209,890
Stock Option
Exercise: $0.39Exp: 2024-07-08→ Common Stock (2,209,890 underlying) - 725,000
Stock Option
Exercise: $0.54Exp: 2023-09-20→ Common Stock (725,000 underlying) - 300,000
Stock Option
Exercise: $1.10Exp: 2022-12-17→ Common Stock (300,000 underlying) - 558,362
Common Stock
- 3,777,425(indirect: See Footnote)
Common Stock
- 1,000,000
Stock Option
Exercise: $0.77Exp: 2023-02-14→ Common Stock (1,000,000 underlying) - 2,100(indirect: See Footnote)
Series B Preferred Stock
Footnotes (8)
- [F1]Shares held by Mr. Mathis' 401(k) account. Mr. Mathis received a dividend payable in common stock as a result of his ownership of Series B Preferred Stock.
- [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]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.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]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.
Documents
Issuer
Gaucho Group Holdings, Inc.
CIK 0001559998
Entity typeother
IncorporatedNY
Related Parties
1- filerCIK 0001079963
Filing Metadata
- Form type
- 4
- Filed
- Jan 24, 7:00 PM ET
- Accepted
- Jan 25, 5:22 PM ET
- Size
- 14.9 KB