Scott L. Mathis - Jul 6, 2021 Form 4 Insider Report for Gaucho Group Holdings, Inc. (VINO)

Role
President, CEO, Chair. & Dir., Director
Signature
/s/ Scott L. Mathis
Stock symbol
VINO
Transactions as of
Jul 6, 2021
Transactions value $
$0
Form type
4
Date filed
11/1/2021, 04:14 PM
Next filing
Mar 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VINO Common Stock Award $0 +522 +2.99% $0.00 18K Jul 6, 2021 See Footnote F1
holding VINO Common Stock 23.8K Jul 6, 2021 Direct
holding VINO Common Stock 252K Jul 6, 2021 See Footnote F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding VINO Stock Option 147K Jul 6, 2021 Common Stock 147K $5.78 Direct F3
holding VINO Stock Option 30K Jul 6, 2021 Common Stock 30K $5.78 Direct F4
holding VINO Stock Option 48.3K Jul 6, 2021 Common Stock 48.3K $8.09 Direct F5
holding VINO Stock Option 66.7K Jul 6, 2021 Common Stock 66.7K $11.55 Direct F6
holding VINO Stock Option 20K Jul 6, 2021 Common Stock 20K $16.50 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held by Mr. Mathis' 401(k) account.
F2 Shares held by The WOW Group, LLC, of which Mr. Mathis is a managing member and of which Mr. Mathis is a controlling member.
F3 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.
F4 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.
F5 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.
F6 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.
F7 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.