Marc Dumont - 11 Aug 2022 Form 4 Insider Report for Gaucho Group Holdings, Inc.

Role
Director
Signature
/s/ Marc Dumont
Issuer symbol
N/A
Transactions as of
11 Aug 2022
Net transactions value
+$37,500
Form type
4
Filing time
18 Aug 2022, 13:36:25 UTC
Previous filing
06 Jul 2022
Next filing
02 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding VINO Common Stock 108,427 11 Aug 2022 Direct
holding VINO Common Stock 101,210 11 Aug 2022 Direct F1
holding VINO Common Stock 30,000 11 Aug 2022 Direct F2
holding VINO Common Stock 39,282 11 Aug 2022 Direct F3

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
transaction VINO Restricted Stock Unit Award $37,500 +46,469 $0.8070 46,469 11 Aug 2022 Common Stock 46,469 $0.8070 Direct F4
holding VINO Stock Option 3,334 11 Aug 2022 Common Stock 3,334 $16.50 Direct F5
holding VINO Stock Option 3,334 11 Aug 2022 Common Stock 3,334 $5.78 Direct F6
holding VINO Stock Option 6,667 11 Aug 2022 Common Stock 6,667 $9.08 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Owned by self and Patrick Dumont as joint tenants with rights of survivorship.
F2 Owned by self, Vinciane Dumont and Catherine Dumont as joint tenants with rights of survivorship.
F3 Owned by self, Patrick Dumont and Vinciane Dumont as joint tenants with rights of survivorship.
F4 Restricted stock units issued pursuant to Gaucho's 2018 Equity Incentive Plan; shares vest on the earlier of 12/31/22 or pro rata to termination of service as a director.
F5 Options issued pursuant to the 2016 Equity Incentive Plan on 12/17/17 at $16.50 per share. 833 vest on 12/17/18; thereafter 208 vest every 3 months; exp. 12/17/22.
F6 Options granted pursuant to the 2018 Equity Incentive Plan on 1/31/2019 at $5.78 per share. 833 vest on 1/31/20; thereafter 208 vest every 3 months; exp. 1/31/24.
F7 Options issued pursuant to the 2018 Equity Incentive Plan on 9/28/20 at $9.08 per share. 1,667 vest on 9/28/21; thereafter 417 every 3 months; exp. 9/28/25.