Scott L. Mathis - Sep 18, 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
Sep 18, 2022
Transactions value $
$0
Form type
4
Date filed
11/2/2022, 03:16 PM
Previous filing
Jun 24, 2022
Next filing
Jan 25, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VINO Common Stock Award $80.6K +129K +7.04% $0.63 1.96M Sep 18, 2022 Direct F1
holding VINO Common Stock 22.9K Sep 18, 2022 See footnote F2
holding VINO Common Stock 1.28M Sep 18, 2022 See footnote F3
holding VINO Common Stock 252K Sep 18, 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
transaction VINO Restricted Stock Unit Other -$80.6K -129K -50% $0.63 129K Sep 18, 2022 Common Stock 129K $0.63 Direct F5
holding VINO Stock Option 147K Sep 18, 2022 Common Stock 147K $5.78 Direct F6
holding VINO Stock Option 30K Sep 18, 2022 Common Stock 30K $5.78 Direct F7
holding VINO Stock Option 48.3K Sep 18, 2022 Common Stock 48.3K $8.09 Direct F8
holding VINO Stock Option 66.7K Sep 18, 2022 Common Stock 66.7K $11.55 Direct F9
holding VINO Stock Option 20K Sep 18, 2022 Common Stock 20K $16.50 Direct F10
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Acquired upon vesting of restricted stock units issued in connection with the conversion of outstanding options of Gaucho Group, Inc.
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.
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.