Scott L. Mathis - 17 Dec 2022 Form 4 Insider Report for Gaucho Group Holdings, Inc.

Role
President, CEO, Chair. & Dir., Director
Signature
/s/Scott L. Mathis
Issuer symbol
N/A
Transactions as of
17 Dec 2022
Net transactions value
+$11,286
Form type
4
Filing time
25 Jan 2023, 20:30:38 UTC
Previous filing
02 Nov 2022
Next filing
03 Jan 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VINO Common Stock Options Exercise $79,275 +10,570 +6.5% $7.50* 174,290 18 Dec 2022 Direct F1
transaction VINO Common Stock Options Exercise $62,942 +54,260 +31% $1.16 228,550 31 Dec 2022 Direct F1
transaction VINO Common Stock Award $11,286 +8,360 +439% $1.35 10,266 23 Jan 2023 See footnote F2
holding VINO Common Stock 106,952 17 Dec 2022 See footnote F3
holding VINO Common Stock 20,986 17 Dec 2022 See foot note 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 Options Exercise $79,275 -10,570 -100% $7.50* 0 18 Dec 2022 Common Stock 10,570 $7.50 Direct F1
transaction VINO Restricted Stock Unit Options Exercise $62,942 -54,260 -33% $1.16 108,520 31 Dec 2022 Common Stock 54,260 $1.16 Direct F5
transaction VINO Stock Option Other $0 -1,667 -100% $0.000000* 0 17 Dec 2022 Common Stock 1,667 $198.00 Direct F10
holding VINO Stock Option 12,277 17 Dec 2022 Common Stock 12,277 $69.36 Direct F6
holding VINO Stock Option 2,500 17 Dec 2022 Common Stock 2,500 $69.36 Direct F7
holding VINO Stock Option 4,028 17 Dec 2022 Common Stock 4,028 $97.08 Direct F8
holding VINO Stock Option 5,556 17 Dec 2022 Common Stock 5,556 $138.60 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Vesting of restricted stock units pursuant to 2018 Equity Incentive Plan.
F2 Shares issued to and held by Mr. Mathis' 401(k) account.
F3 Shares issued 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 2018 Equity Incentive Plan; 54,260 shares vest on 12/31/22; thereafter 54,260 annually.
F6 Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 3,073 shares vest on 7/8/20; thereafter options to acquire 767 shares vest every three months.
F7 Stock options granted pursuant to 2018 Equity Incentive Plan; options to acquire 625 shares vest on 1/31/20; thereafter options to acquire 156 shares vest every three months.
F8 Stock options granted pursuant to 2018 Equity Incentive Plan; all vested as of 9/20/22.
F9 Stock options granted pursuant to 2016 Equity Incentive Plan; all vested as of 2/14/22.
F10 Stock options granted pursuant to 2016 Equity Incentive Plan; all expired for no value received.