Amended Current Report Filing (8-k/a)
September 29 2021 - 06:07AM
Edgar (US Regulatory)
0001559998 true Amendment No 1
0001559998 2021-08-26 2021-08-26 iso4217:USD xbrli:shares
iso4217:USD xbrli:shares
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
WASHINGTON, D.C.
20549
FORM
8-K/A
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act
of 1934
Date of Report:
August 26, 2021
Gaucho Group Holdings, Inc.
(Exact name of registrant as specified in its charter)
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Delaware |
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001-40075 |
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52-2158952 |
| State of |
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Commission |
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IRS
Employer |
| Incorporation |
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File
Number |
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Identification No. |
112 NE 41st Street,
Suite 106
Miami,
FL
33137
Address of principal executive offices
212-739-7700
Telephone number, including
Area code
Former name or former address if changed since last report
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General
Instruction A.2. below):
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☐ |
Written communication pursuant to Rule 425 under
the Securities Act (17 CFR 230.425) |
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☐ |
Soliciting material pursuant to Rule 14a-12 under
the Exchange Act (17 CFR 240.14a-12) |
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☐ |
Pre-commencement communication pursuant to Rule
14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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☐ |
Pre-commencement communication pursuant to Rule
13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (17
CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934
(17 CFR §240.12b-2).
Emerging growth company
☒
If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange Act.
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class |
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Trading Symbol(s) |
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Name of each exchange on which
registered |
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Common Stock |
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VINO |
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The Nasdaq Stock Market LLC |
Item 5.02 Departure
of Directors or Certain Officers; Election of Directors;
Appointment of Certain Officers; Compensatory Arrangements of
Certain Officers.
This Current
Report on Form 8-K/A of Gaucho Group Holdings, Inc. (the “Company”)
amends the Company’s Current Report on Form 8-K dated August 26,
2021 and filed with the Securities and Exchange Commission on
August 31, 2021 (the “Original Filing”) to correct a typo in the
number of shares of common stock of the Company available for issue
pursuant to the Company’s 2018 Equity Incentive Plan (the “2018
Plan”). The stockholders approved the amendment to the 2018 Plan
thereby increasing the number of shares available for awards under
the plan to 15% of our common stock outstanding on a fully diluted
basis as of the August 26, 2021.
In the
Original Filing, the amendment to the Plan attached as Exhibit 4.1
incorrectly stated the number of authorized shares of common stock
under the 2018 Plan at 1,775,730. The correct number of shares
authorized under the 2018 Plan is 1,773,730. An amended Exhibit 4.1
is filed with this Current Report.
Except as
described herein, no other changes have been made to our Current
Report on Form 8-K filed on August 31, 2021.
Item 9.01
Financial Statements and Exhibits
(d)
Exhibits
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of
1934, the registrant caused this report to be signed on its behalf
by the undersigned, thereunto duly authorized, on the 29th day of
September, 2021.
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Gaucho Group
Holdings, Inc. |
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By: |
/s/Scott L. Mathis |
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Scott L. Mathis, President &
CEO |
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