Amended Current Report Filing (8-k/a)
September 29 2021 - 6:07AM
Edgar (US Regulatory)
0001559998
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Amendment No 1
0001559998
2021-08-26
2021-08-26
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iso4217:USD
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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)
Delaware
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001-40075
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52-2158952
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State of
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Commission
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IRS Employer
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Incorporation
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File Number
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Identification No.
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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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☐
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Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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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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☐
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Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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:
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
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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:
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/s/Scott L. Mathis
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Scott L. Mathis, President & CEO
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