MATHIS SCOTT L 4
4 · Gaucho Group Holdings, Inc. · Filed Nov 2, 2022
Insider Transaction Report
Form 4
MATHIS SCOTT L
DirectorPresident, CEO, Chairman10% Owner
Transactions
- Award
Common Stock
2022-09-18$0.63/sh+128,999$80,624→ 1,962,460 total - Other
Restricted Stock Unit
2022-09-18$0.63/sh−128,999$80,624→ 128,998 totalExercise: $0.63Exp: 2023-12-18→ Common Stock (128,999 underlying)
Holdings
- 1,283,423(indirect: See footnote)
Common Stock
- 66,667
Stock Option
Exercise: $11.55Exp: 2023-02-14→ Common Stock (66,667 underlying) - 20,000
Stock Option
Exercise: $16.50Exp: 2022-12-17→ Common Stock (20,000 underlying) - 22,867(indirect: See footnote)
Common Stock
- 251,829(indirect: See footnote)
Common Stock
- 147,326
Stock Option
Exercise: $5.78Exp: 2024-07-08→ Common Stock (147,326 underlying) - 30,000
Stock Option
Exercise: $5.78Exp: 2024-01-31→ Common Stock (30,000 underlying) - 48,334
Stock Option
Exercise: $8.09Exp: 2023-09-20→ Common Stock (48,334 underlying)
Footnotes (10)
- [F1]Acquired upon vesting of restricted stock units issued in connection with the conversion of outstanding options of Gaucho Group, Inc.
- [F10]Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 5,000 shares vest on 12/17/18; thereafter options to acquire 1,250 shares vest every three months.
- [F2]Shares held by Mr. Mathis' 401(k) account.
- [F3]Shares issued in connection with land purchase to Hollywood Burger Holdings, Inc., of which Mr. Mathis is President and CEO and a controlling owner.
- [F4]Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
- [F5]Restricted stock units issued pursuant to Gaucho's 2018 Equity Incentive Plan; 128,999 shares vested on 9/18/22; remainder vest on 12/18/22.
- [F6]Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 36,832 shares vest on 7/8/20; thereafter options to acquire 9,208 shares vest every three months in equal installments.
- [F7]Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 7,500 shares vest on 1/31/20; thereafter options to acquire 1,875 shares vest every three months in equal installments.
- [F8]Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 12,084 shares vest on 9/20/19; thereafter options to acquire 3,021 shares vest every three months in equal installments with the last installment of 3,020 vesting on 9/20/22.
- [F9]Stock options granted pursuant to 2016 Equity Incentive Plan; options to acquire 16,667 shares vest on 2/14/19; thereafter options to acquire 4,167 shares vest every three months.