Scott L. Mathis - Feb 23, 2022 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
Feb 23, 2022
Transactions value $
$2,410,872
Form type
4
Date filed
3/29/2022, 02:21 PM
Previous filing
Nov 1, 2021
Next filing
Jun 24, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VINO Common Stock Award $10.9K +4.88K +27.1% $2.23 22.9K Mar 25, 2022 See Footnote F1, F2
transaction VINO Common Stock Award $2.4M +1.28M $1.87 1.28M Feb 23, 2022 See Footnote F3
holding VINO Common Stock 23.8K Feb 23, 2022 Direct
holding VINO Common Stock 252K Feb 23, 2022 See Footnote F4

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 Feb 23, 2022 Common Stock 147K $5.78 Direct F5
holding VINO Stock Option 30K Feb 23, 2022 Common Stock 30K $5.78 Direct F6
holding VINO Stock Option 48.3K Feb 23, 2022 Common Stock 48.3K $8.09 Direct F7
holding VINO Stock Option 66.7K Feb 23, 2022 Common Stock 66.7K $11.55 Direct F8
holding VINO Stock Option 20K Feb 23, 2022 Common Stock 20K $16.50 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Issued pursuant to the Company's matching 401(k) plan.
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 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.
F6 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.
F7 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.
F8 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.
F9 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.